Kirk R. Fricke

HILLTOP SECURITIES

Dallas, TX 75201

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CRD#: 2573004

Professional summary

Kirk Roy Fricke, CFP® is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Dallas, Texas.

Kirk is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kirk has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Kirk Roy Fricke's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kirk Roy Fricke'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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

May 29, 2025 - Present

HILLTOP SECURITIES INC.

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

RIA

CRD#: 6220

Dallas, TX

Current

May 29, 2025 - Present

HILLTOP SECURITIES INC.

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

RIA

CRD#: 6220

Dallas, TX

Past

July 20, 2018 - August 23, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA

CRD#: 40637

NEW ORLEANS, LA

Past

July 19, 2018 - August 23, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

NEW ORLEANS, LA

Past

March 21, 2013 - July 12, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SEATTLE, WA

Past

March 18, 2013 - July 10, 2018

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SEATTLE, WA

Past

October 1, 2012 - February 22, 2013

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

SEATTLE, WA

Past

October 1, 2012 - February 22, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

SEATTLE, WA

Past

May 2, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

SEATTLE, WA

Past

May 2, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SEATTLE, WA

Past

April 28, 2009 - May 2, 2009

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

SEATTLE, WA

Past

August 23, 2006 - May 2, 2009

WAMU INVESTMENTS, INC.

CRD#: 599

SEATTLE, WA

Past

July 25, 2005 - August 1, 2006

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

SEATTLE, WA

Past

April 19, 2004 - August 23, 2005

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

September 29, 1999 - December 31, 2000

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

August 18, 1997 - October 27, 1999

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

SEATTLE, WA

Past

January 17, 1995 - June 26, 1997

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

January 17, 1995 - August 28, 1997

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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

Texas
(5/29/2025)

IAR

Texas
(5/29/2025)

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: 4/27/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/17/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/11/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/17/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/8/2021

General Securities Principal 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	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	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

Kirk R. Fricke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kirk Roy Fricke's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kirk Roy Fricke's CRS (Customer Relationship Summary).

Certified licenses

Experience

HILLTOP SECURITIES INC.

HANCOCK WHITNEY INVESTMENT SERVICES INC.

HANCOCK WHITNEY INVESTMENT SERVICES INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

KESTRA INVESTMENT SERVICES, LLC

OSAIC FS, INC.

THE LEADERS GROUP, INC.

KMS FINANCIAL SERVICES, INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

HILLTOP SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/27/2009

Series 63

Date: 4/17/2004

SIE

Date: 10/1/2018

Series 7

Date: 1/11/2009

Series 6

Date: 4/17/2004

Series 24

Date: 11/8/2021

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.

TRUST BUT VERIFY

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