DO
David L. Oxley
HILLTOP SECURITIES
Memphis, TN 38119
Some features on this profile are disabled
CRD#: 2648855
DO
Professional summary
David Latham Oxley is a registered financial professional currently at HILLTOP SECURITIES INC. located in Memphis, Tennessee.
David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 9 firms and has passed the Series 63, Series 72, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view David Latham Oxley'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
February 28, 2023 - Present
HILLTOP SECURITIES INC.
Office #1: 5350 Poplar Avenue Suite 150, Memphis, TN 38119RIA
BD
CRD#: 6220
Memphis, TN
Past
June 15, 2022 - February 9, 2023
STONEX FINANCIAL INC.
BD
CRD#: 45993
WINTER PARK, FL
Past
February 11, 2019 - June 9, 2022
CANTOR FITZGERALD & CO.
BD
CRD#: 134
MEMPHIS, TN
Past
August 1, 2016 - February 8, 2019
D.A. DAVIDSON & CO.
BD
CRD#: 199
Memphis, TN
Past
July 15, 2004 - May 26, 2016
STEPHENS
BD
CRD#: 3496
MEMPHIS, TN
Past
May 13, 2002 - July 13, 2004
VINING-SPARKS IBG, LLC
BD
CRD#: 27502
MEMPHIS, TN
Past
May 13, 2002 - July 13, 2004
ICBA SECURITIES
BD
CRD#: 24088
MEMPHIS, TN
Past
December 23, 1996 - May 8, 2002
NBC CAPITAL MARKETS GROUP, INC.
BD
CRD#: 18229
MEMPHIS, TN
Past
September 25, 1996 - November 18, 1996
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
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(3/1/2023)
RR
Alaska(4/3/2023)
RR
Arizona(2/28/2023)
RR
Arkansas(2/28/2023)
RR
California(2/28/2023)
RR
Colorado(2/28/2023)
RR
Connecticut(2/28/2023)
RR
Delaware(2/28/2023)
RR
District of Columbia(2/28/2023)
RR
Florida(2/28/2023)
RR
Georgia(2/28/2023)
RR
Hawaii(3/2/2023)
RR
Idaho(2/28/2023)
RR
Illinois(3/6/2023)
RR
Indiana(2/28/2023)
RR
Iowa(2/28/2023)
RR
Kansas(2/28/2023)
RR
Kentucky(2/28/2023)
RR
Louisiana(2/28/2023)
RR
Maine(2/28/2023)
RR
Maryland(2/28/2023)
RR
Massachusetts(4/20/2023)
RR
Michigan(2/28/2023)
RR
Minnesota(3/17/2023)
RR
Mississippi(2/28/2023)
RR
Missouri(3/27/2023)
RR
Montana(2/28/2023)
RR
Nebraska(2/28/2023)
RR
Nevada(2/28/2023)
RR
New Hampshire(2/28/2023)
RR
New Jersey(2/28/2023)
RR
New Mexico(2/28/2023)
RR
New York(2/28/2023)
RR
North Carolina(2/28/2023)
RR
North Dakota(2/28/2023)
RR
Ohio(2/28/2023)
RR
Oklahoma(2/28/2023)
RR
Oregon(2/28/2023)
RR
Pennsylvania(2/28/2023)
RR
Puerto Rico(2/28/2023)
RR
Rhode Island(2/28/2023)
RR
South Carolina(2/28/2023)
RR
South Dakota(2/28/2023)
RR
Tennessee(2/28/2023)
RR
Texas(2/28/2023)
RR
Utah(2/28/2023)
RR
Vermont(2/28/2023)
RR
Virgin Islands(2/28/2023)
RR
Virginia(2/28/2023)
RR
Washington(2/28/2023)
RR
West Virginia(2/28/2023)
RR
Wisconsin(2/28/2023)
RR
Wyoming(2/28/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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 | 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.
Company Information
HILLTOP SECURITIES INC.
CRD#: 6220Memphis, TN 38119TRUST BUT VERIFY
Monitor David Oxley
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
