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Michael J. Baker

Some features on this profile are disabled
CRD#: 2565823
MB

Professional summary

Michael Jeffrey Baker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Michael had worked at 3 firms, which includes HILLTOP SECURITIES INC., ABN AMRO INCORPORATED, CITIGROUP GLOBAL MARKETS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Baker

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 16, 2009 - October 25, 2012

HILLTOP SECURITIES INC.

BD
CRD#: 6220
NEW YORK, NY
Past

December 8, 2004 - February 25, 2005

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

September 2, 1999 - April 6, 2000

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

June 8, 1995 - December 17, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
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.
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/2009
General Securities Representative Examination

Current Firm

HILLTOP SECURITIES INC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
HILLTOP SECURITIES HOLDINGS, LLCPARENT
ALEXANDER, LAURA BONNELLBOARD DIRECTOR2900382
BARTOLOTTA, MICHAEL GEORGEBOARD DIRECTOR1620103
COYA, SCOTT ANDREWCHIEF COMPLIANCE OFFICER2511281
EDGE, JOSEPH MICHAELBOARD DIRECTOR4326551
EDGE, JOSEPH MICHAELCHIEF FINANCIAL OFFICER4326551
LEVENTHAL, LAURATREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER1175259
LEVENTHAL, LAURABOARD DIRECTOR1175259
MEDANICH, DAVID KINGBOARD DIRECTOR1030727
MUSCHALEK, JOHN RICHARDBOARD DIRECTOR2226859
PINEDA, ROMEO LINSANGANPRINCIPAL OPERATIONS OFFICER2193669
SOBEL, JONATHAN SCOTTCHAIRMAN1540818
WINGES, MARTIN BRADLEYCEO/PRESIDENT/DIRECTOR1929509
WITTNEBEN, BRIAN LANEGENERAL COUNSEL/SECRETARY4861905

Regulatory assets under management

Total Number of Accounts5,181
AUM (Assets Under Management)$ 2,254,166,069

Disclosures

Regulatory Event56
Arbitration22

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

CRD#: 6220

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