RM
Robert D. Morales
HILLTOP SECURITIES
Dallas, TX 75201
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CRD#: 2768114
RM
Professional summary
Robert Daniel Morales, CFP®, who also goes by Robert Morales, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Dallas, Texas.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 7TO, Series 6, Series 2, Series 53, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Morales
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] DRAG Ventures formally dba Velofix Dallas Franchise, Non investment-related , Dallas, Tx, Currently operating as a shell company with no new transactions awaiting final tax an admin items for shutdown, President, Start Date 8/1/2024, 8 hrs/per month non-business hours, 0 hrs/per week business hours, Closing out business currently operating as a shell company with no new transactions awaiting final tax an admin items for shutdown.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Daniel Morales's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Daniel Morales'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®
Experience
Current
April 28, 2021 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Current
January 21, 2021 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Current
April 4, 2025 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 17587
Dallas, TX
Past
January 27, 2012 - July 26, 2012
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
SAN ANTONIO, TX
Past
January 27, 2012 - July 26, 2012
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
SAN ANTONIO, TX
Past
March 9, 2007 - January 27, 2012
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
SAN ANTONIO, TX
Past
March 9, 2007 - January 27, 2012
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
SAN ANTONIO, TX
Past
January 26, 2004 - January 30, 2007
MISSIONSQUARE RETIREMENT
RIA
CRD#: 108783
WASHINGTON, DC
Past
January 19, 2004 - January 30, 2007
MISSIONSQUARE INVESTMENT SERVICES
BD
CRD#: 23189
WASHINGTON, DC
Past
October 6, 2000 - January 9, 2004
STRATEGIC WEALTH MANAGEMENT INC
RIA
CRD#: 109389
TEMECULA, CA
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(7/24/2025)
IAR
Texas(4/28/2021)
RR
Texas(5/20/2021)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/8/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/20/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 8/26/1996
Non-Member General Securities ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/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 75201TRUST BUT VERIFY
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