Martin F. Klenert
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.
Martin F Klenert was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1974. Martin had worked at 18 firms and has passed the Series 63, Series 5, Series 1 and Series 000 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2013 - January 8, 2014
HILLTOP SECURITIES INC.
August 8, 2012 - April 18, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 20, 2009 - January 5, 2012
MUFG SECURITIES AMERICAS INC.
June 5, 2007 - October 17, 2008
FAIRFIELD HEATHCLIFF CAPITAL LLC
October 13, 2004 - August 9, 2006
CANTOR FITZGERALD & CO.
August 4, 2003 - September 3, 2004
LEGG MASON WOOD WALKER, INCORPORATED
April 10, 2002 - May 2, 2003
FHN FINANCIAL SECURITIES CORP.
December 2, 1993 - October 12, 2001
MORGAN STANLEY & CO. LLC
September 30, 1993 - November 23, 1993
DEUTSCHE BANK SECURITIES INC.
December 17, 1991 - September 30, 1993
DEUTSCHE BANK CAPITAL CORPORATION
March 6, 1991 - June 13, 1991
J.P. MORGAN SECURITIES LLC
September 20, 1989 - March 11, 1991
CITICORP SECURITIES, INC.
July 7, 1988 - February 25, 1989
PERSHING LLC
May 5, 1983 - February 23, 1988
CREDIT SUISSE SECURITIES (USA) LLC
February 27, 1980 - April 26, 1983
MORGAN STANLEY & CO. LLC
September 11, 1978 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
February 24, 1978 - September 30, 1978
LEHMAN BROTHERS KUHN LOEB INCORPORATED
May 9, 1974 - February 5, 1978
KUHN LOEB & CO. INCORPORATED
May 9, 1974 - February 24, 1978
KUHN, LOEB & CO. INTERNATIONAL
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 5
Date: 6/15/1982
Interest Rate Options ExaminationSeries 1
Date: 5/6/1974
Registered Representative ExaminationSeries 000
Date: 3/1/1972
General Securities Principal ExaminationCurrent 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 | 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.
