JJ
James H. Jones
HILLTOP SECURITIES
Dallas, TX 75225
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CRD#: 261337
JJ
Professional summary
James Hardie Jones is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Dallas, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. James has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1 and Series 30 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.
1] Elan Associates, LLC; Yes Investment Related, Plano, TX, Manager of LLC since 2013 Holding Co. for Intellectual Property Research Software use in trading, no comp, minimal hrs during business hrs no conflicts. 2] Halco Real Estate, LLC; Plano, TX Real Estate Rentanl Property, Manager of LLC, March 2013, LLC owns rental properties, comp is rental income, zero hrs during business hours, less than 1 hr during non-business hours, no conflicts. 3] James H Jones Capital Management LLC; Investment-Related, Plano TX, Manager/Owner, 5/1/2014, 1 hr/mo during non-business hours, 1 hr/mo during non-business hours, Investment related commodity advisor.
CRS (Client Relationship Summary) - RIA
Click below to view James Hardie Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Hardie Jones'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
August 30, 2000 - Present
HILLTOP SECURITIES INC.
Office #1: 8201 Preston Road Suite 600, Dallas, TX 75225RIA
BD
CRD#: 6220
Dallas, TX
Current
August 30, 2000 - Present
HILLTOP SECURITIES INC.
Office #1: 8201 Preston Road Suite 600, Dallas, TX 75225RIA
BD
CRD#: 6220
Dallas, TX
Past
January 1, 1995 - September 15, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 31, 1993 - December 20, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
June 20, 1985 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
September 25, 1984 - January 9, 1985
CONTISECURITIES, INC.
BD
CRD#: 6926
Past
April 16, 1984 - June 26, 1987
WESTPORT FINANCIAL GROUP, INC.
BD
CRD#: 13048
Past
April 29, 1983 - May 3, 1984
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
BD
CRD#: 6577
Past
May 30, 1974 - November 19, 1981
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
BD
CRD#: 6577
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(8/30/2000)
RR
Indiana(1/6/2011)
RR
Minnesota(1/9/2003)
RR
Nevada(1/3/2017)
RR
Texas(8/30/2000)
IAR
Texas(8/30/2000)
RR
Virginia(8/30/2000)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 7/3/1985
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 5/25/1974
Registered Representative ExaminationPrincipal/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.
Company Information
HILLTOP SECURITIES INC.
CRD#: 6220Dallas, TX 75225TRUST BUT VERIFY
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