Michael K. Lauterbach

HILLTOP SECURITIES

Dallas, TX 75201

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CRD#: 2473530

Professional summary

Michael Keith Lauterbach, who also goes by Michael Keith Lavterbach, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Dallas, Texas and MOMENTUM INDEPENDENT NETWORK INC. located in Dallas, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 14 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Keith Lavterbach

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Keith Lauterbach's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Keith Lauterbach's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 13, 2009 - Present

HILLTOP SECURITIES INC.

Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201

RIA

CRD#: 6220

Dallas, TX

Current

January 3, 2012 - Present

MOMENTUM INDEPENDENT NETWORK INC.

Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201Office #2: 717 N. Harwood Street Suite 3400, Dallas, TX 75201

RIA

CRD#: 17587

Dallas, TX

Current

May 13, 2009 - Present

HILLTOP SECURITIES INC.

Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201

RIA

CRD#: 6220

Dallas, TX

Current

February 15, 2012 - Present

MOMENTUM INDEPENDENT NETWORK INC.

Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201Office #2: 717 N. Harwood Street Suite 3400, Dallas, TX 75201

RIA

CRD#: 17587

Dallas, TX

Past

August 16, 2006 - May 18, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

DALLAS, TX

Past

August 16, 2006 - May 18, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

DALLAS, TX

Past

January 24, 2006 - August 30, 2006

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

DALLAS, TX

Past

December 5, 2005 - August 30, 2006

OPPENHEIMER & CO. INC.

CRD#: 249

DALLAS, TX

Past

November 5, 2003 - December 6, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 20, 2003 - November 26, 2003

QUICK & REILLY, INC.

RIA

CRD#: 11217

DALLAS, TX

Past

February 20, 2003 - November 26, 2003

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

May 23, 2001 - February 27, 2003

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

March 22, 2000 - May 14, 2001

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

TULSA, OK

Past

January 1, 1999 - April 7, 2000

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

December 23, 1997 - January 1, 1999

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

April 10, 1997 - June 19, 1997

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

August 19, 1996 - April 29, 1997

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

March 15, 1996 - August 19, 1996

FIRST INTERSTATE INVESTMENTS,INC.

CRD#: 17101

Past

March 4, 1996 - March 11, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 6, 1994 - September 29, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC. | SWS SECURITIES, INC. | SWS SECURITIES INC. | SOUTHWEST SECURITIES, INC.

CRD#: 6220 / SEC#: 801-55529, 8-45123

RIA

Registered Investment Advisory firm - SEC (6/10/1998 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/14/2009)

Nevada
(5/14/2009)

Texas
(5/13/2009)

IAR

Texas
(5/13/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/25/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/17/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/3/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/29/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/10/2004

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC. | SWS SECURITIES, INC. | SWS SECURITIES INC. | SOUTHWEST SECURITIES, INC.

CRD#: 6220 / SEC#: 801-55529, 8-45123

RIA

Registered Investment Advisory firm - SEC (6/10/1998 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

717 N. Harwood Street Suite 3400, Dallas, TX 75201

Mailing Address

717 Harwood Street Suite 3400, Dallas, TX 75201

Phone number

(214) 953-4000

Established

Delaware since 12/31/1991

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HILLTOP HORIZON PROGRAM BROCHURE 11/12/2025 (11/12/2025)

HILLTOP WRAP BROCHURE 08/29/2025 (8/29/2025)

HILLTOP FIRM BROCHURE 08/29/2025 (8/29/2025)

Direct owners and executive officers

Name	Position	CRD#
HILLTOP SECURITIES HOLDINGS, LLC	PARENT
ALEXANDER, LAURA BONNELL	BOARD DIRECTOR	2900382
BARTOLOTTA, MICHAEL GEORGE	BOARD DIRECTOR	1620103
COYA, SCOTT ANDREW	CHIEF COMPLIANCE OFFICER	2511281
EDGE, JOSEPH MICHAEL	BOARD DIRECTOR	4326551
EDGE, JOSEPH MICHAEL	CHIEF FINANCIAL OFFICER	4326551
LEVENTHAL, LAURA	TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER	1175259
LEVENTHAL, LAURA	BOARD DIRECTOR	1175259
MEDANICH, DAVID KING	BOARD DIRECTOR	1030727
MUSCHALEK, JOHN RICHARD	BOARD DIRECTOR	2226859
PINEDA, ROMEO LINSANGAN	PRINCIPAL OPERATIONS OFFICER	2193669
SOBEL, JONATHAN SCOTT	CHAIRMAN	1540818
WINGES, MARTIN BRADLEY	CEO/PRESIDENT/DIRECTOR	1929509
WITTNEBEN, BRIAN LANE	GENERAL COUNSEL/SECRETARY	4861905

Regulatory assets under management

Total Number of Accounts	5,181
AUM (Assets Under Management)	$ 2,254,166,069

Disclosures

Regulatory Event	56
Arbitration	22

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/21/2025	Cover Page	Report
07/26/2024	Cover Page	Report
07/20/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Michael K. Lauterbach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Keith Lauterbach's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Keith Lauterbach's CRS (Customer Relationship Summary).

Certified licenses

Experience

MOMENTUM INDEPENDENT NETWORK INC.

HILLTOP SECURITIES INC.

MOMENTUM INDEPENDENT NETWORK INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

WELLS FARGO CLEARING SERVICES, LLC

QUICK & REILLY, INC.

QUICK & REILLY, INC.

WAMU INVESTMENTS, INC.

BOK FINANCIAL SECURITIES, INC.

WAMU INVESTMENTS, INC.

GRIFFIN FINANCIAL SERVICES

INVESTMENT CENTERS OF AMERICA, INC.

WELLS FARGO SECURITIES INC.

FIRST INTERSTATE INVESTMENTS,INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

HILLTOP SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/25/1994

Series 63

Date: 5/17/1994

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/3/1994

Series 10

Date: 6/29/2004

Series 9

Date: 6/10/2004

FINRA

Nasdaq Stock Market

New York Stock Exchange

Current Firm

HILLTOP SECURITIES INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

HILLTOP SECURITIES INC.

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