Robert M. Stefanik
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.
Robert Michael Stefanik was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 15 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2021 - August 15, 2023
HILLTOP SECURITIES INC.
August 1, 2018 - February 10, 2021
FHN FINANCIAL SECURITIES CORP.
April 7, 2014 - September 29, 2016
B. RILEY SECURITIES, INC.
November 8, 2013 - April 1, 2014
SEAPORT GLOBAL SECURITIES LLC
February 11, 2013 - November 1, 2013
GLOBAL HUNTER SECURITIES, LLC
January 24, 2011 - December 20, 2012
FM PARTNERS HOLDINGS LLC
September 16, 2010 - January 18, 2011
COHEN & COMPANY CAPITAL MARKETS, LLC
February 23, 2010 - October 1, 2010
COHEN & COMPANY SECURITIES, LLC
May 19, 2006 - February 19, 2010
SAMCO CAPITAL MARKETS, INC.
May 26, 2004 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
October 31, 2001 - March 4, 2004
QUASAR DISTRIBUTORS, LLC
July 1, 2000 - April 25, 2001
SANDERS MORRIS LLC
June 21, 2000 - July 1, 2000
BLACKFORD SECURITIES CORP.
April 29, 1998 - January 21, 1999
UBS FINANCIAL SERVICES INC.
April 22, 1997 - July 15, 1997
ABN AMRO SECURITIES LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative 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.
