TO
Thomas M. O'connell
HILLTOP SECURITIES
Sherman Oaks, CA 91403
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CRD#: 2529442
TO
Professional summary
Thomas Michael O'connell, who also goes by Thomas M. O'connell, Tom O'connell, Thomas Michael Oconnell, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Sherman Oaks, California.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Thomas has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas M. O'connell | Tom O'connell | Thomas Michael Oconnell
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.
1. McConnell's Fine Ice Cream, non-investment related. 15209 Palisades Village Ln, Pacific Palisades, CA 90272. Ice cream shop. Limited Partner. Start Date: 2018. Approximately one per month. Zero hours devoted to OBA during market hours. Limited partner. 2. Hamilton Grant LLC, investment related. 70 S. Lake Ave., 7th Floor Pasadena CA 91101. Hamilton Grant streamlines the M&A process for independent investment bankers. HG's affiliates operating independently with the benefits of regulatory compliance, administrative and marketing resources. Limited partner member since 2022. Zero hours devoted to OBA both non and securities trading hours. Limited partner member, I do not direct the management or policies of the firm.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Michael O'connell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Michael O'connell's 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®
NoneExperience
Current
January 19, 2023 - Present
HILLTOP SECURITIES INC.
Office #1: 15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403RIA
BD
CRD#: 6220
Sherman Oaks, CA
Current
January 18, 2023 - Present
HILLTOP SECURITIES INC.
Office #1: 15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403RIA
BD
CRD#: 6220
Sherman Oaks, CA
Past
March 18, 2011 - January 10, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
Pasadena, CA
Past
January 9, 2009 - January 10, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
Pasadena, CA
Past
February 26, 2002 - July 22, 2002
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
SAN FRANCISCO, CA
Past
November 19, 1997 - February 13, 2002
FROLEY, REVY ASSET TRADERS, INC.
BD
CRD#: 18357
LOS ANGELES, CA
Past
August 2, 1996 - July 22, 1997
NATIONAL CLEARING CORP.
BD
CRD#: 14343
SHERMAN OAKS, CA
Past
January 16, 1996 - April 18, 1996
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
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)BD
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.RR
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
RR
California(1/18/2023)
IAR
California(1/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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)BD
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
91
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
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 | CHIEF FINANCIAL OFFICER | 4326551 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| LEVENTHAL, LAURA | TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER | 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 | ||
| 07/26/2024 | ||
| 07/20/2023 |
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.
