DP
David Pichler
HILLTOP SECURITIES
Hobe Sound, FL
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CRD#: 2545297
DP
Professional summary
David Pichler, who also goes by Dave Pichler, David C Pichler, David Christopher Pichler, is a registered financial professional currently at HILLTOP SECURITIES INC. located in Hobe Sound, Florida.
David is registered as a RR (Registered Representative) and started their career in finance in 1994. David has worked at 13 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dave Pichler | David C Pichler | David Christopher Pichler
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.
CRS (Client Relationship Summary) - BD
Click below to view David Pichler'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
June 16, 2025 - Present
HILLTOP SECURITIES INC.
RIA
BD
CRD#: 6220
Hobe Sound, FL
Past
January 13, 2023 - May 19, 2025
BLAYLOCK VAN, LLC
BD
CRD#: 145317
NEW YORK, NY
Past
October 2, 2020 - September 16, 2022
STONEX FINANCIAL INC.
BD
CRD#: 45993
BOCA RATON, FL
Past
October 1, 2019 - September 23, 2020
R.W.PRESSPRICH & CO.
BD
CRD#: 26460
NEW YORK, NY
Past
November 21, 2017 - April 26, 2019
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
NEW YORK, NY
Past
October 1, 2015 - May 1, 2017
FHN FINANCIAL SECURITIES CORP.
BD
CRD#: 46346
NEW YORK, NY
Past
October 31, 2011 - May 5, 2015
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
July 22, 2010 - August 4, 2011
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
February 25, 2009 - July 26, 2010
GFI SECURITIES LLC
BD
CRD#: 19982
NEW YORK, NY
Past
February 5, 2008 - March 26, 2009
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 10, 2008 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
September 1, 1998 - November 30, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
November 8, 1994 - September 1, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
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)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.
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
Alabama(6/16/2025)
RR
Alaska(6/16/2025)
RR
Arizona(6/16/2025)
RR
Arkansas(6/16/2025)
RR
California(6/16/2025)
RR
Colorado(6/16/2025)
RR
Connecticut(6/16/2025)
RR
Delaware(6/16/2025)
RR
District of Columbia(6/16/2025)
RR
Florida(6/16/2025)
RR
Georgia(6/16/2025)
RR
Hawaii(6/16/2025)
RR
Idaho(6/16/2025)
RR
Illinois(6/16/2025)
RR
Indiana(6/16/2025)
RR
Iowa(6/16/2025)
RR
Kansas(6/16/2025)
RR
Kentucky(6/16/2025)
RR
Louisiana(6/16/2025)
RR
Maine(6/16/2025)
RR
Maryland(6/16/2025)
RR
Massachusetts(6/16/2025)
RR
Michigan(6/16/2025)
RR
Minnesota(6/16/2025)
RR
Mississippi(6/16/2025)
RR
Missouri(6/16/2025)
RR
Montana(6/17/2025)
RR
Nebraska(6/16/2025)
RR
Nevada(6/16/2025)
RR
New Hampshire(6/16/2025)
RR
New Jersey(6/16/2025)
RR
New Mexico(6/16/2025)
RR
New York(6/16/2025)
RR
North Carolina(6/16/2025)
RR
North Dakota(6/16/2025)
RR
Ohio(6/16/2025)
RR
Oklahoma(6/16/2025)
RR
Oregon(6/16/2025)
RR
Pennsylvania(6/16/2025)
RR
Puerto Rico(6/16/2025)
RR
Rhode Island(6/16/2025)
RR
South Carolina(6/16/2025)
RR
South Dakota(6/16/2025)
RR
Tennessee(6/16/2025)
RR
Texas(6/16/2025)
RR
Utah(6/16/2025)
RR
Vermont(6/16/2025)
RR
Virgin Islands(6/16/2025)
RR
Virginia(6/16/2025)
RR
Washington(6/16/2025)
RR
West Virginia(6/16/2025)
RR
Wisconsin(6/16/2025)
RR
Wyoming(6/16/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
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)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.
