Donald A. Kartoon
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Donald Allen Kartoon was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1970. Donald had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 15, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2017 - February 28, 2025
HILLTOP SECURITIES INC.
May 19, 2017 - February 28, 2025
HILLTOP SECURITIES INC.
November 9, 2010 - May 22, 2017
MORGAN STANLEY
November 5, 2010 - May 22, 2017
MORGAN STANLEY
July 1, 2003 - November 8, 2010
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - November 8, 2010
WELLS FARGO CLEARING SERVICES, LLC
July 23, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 17, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 25, 1994 - July 20, 2001
CITIGROUP GLOBAL MARKETS INC.
May 4, 1989 - November 29, 1994
CIBC WORLD MARKETS CORP.
September 3, 1981 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 24, 1970 - June 17, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 6/5/1984
Foreign Currency Options ExaminationPC
Date: 1/1/1978
AMEX Put and Call ExamSeries 1
Date: 2/18/1970
Registered Representative ExaminationSeries 8
Date: 9/22/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
Contact information
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 | BOARD DIRECTOR | 4326551 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| LEVENTHAL, LAURA | TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER | 1175259 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 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.
