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Carol E. Cheeks
HILLTOP SECURITIES ASSET MANAGEMENT
HAYMARKET, VA
Some features on this profile are disabled
CRD#: 2793759
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Professional summary
Carol Elaine Cheeks, who also goes by Carol E Cheeks, Carol Elaine Shannon, is a registered financial advisor currently at HILLTOP SECURITIES ASSET MANAGEMENT, LLC located in Haymarket, Virginia and HILLTOP SECURITIES INC. located in Dallas, Texas.
Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Carol has worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 79TO, SIE, Series 50, Series 7, Series 6, Series 54, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carol E Cheeks | Carol Elaine Shannon
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) - RIA
Click below to view Carol Elaine Cheeks'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
May 12, 2025 - Present
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
RIA
CRD#: 110760
HAYMARKET, VA
Current
January 22, 2016 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Past
April 3, 2007 - January 22, 2016
FIRST SOUTHWEST COMPANY, LLC
BD
CRD#: 316
DALLAS, TX
Past
April 5, 2006 - April 4, 2007
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
DALLAS, TX
Past
January 25, 2006 - April 4, 2007
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
Past
May 22, 2002 - November 13, 2002
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
SAN ANTONIO, TX
Past
November 4, 1997 - November 13, 2002
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
SAN ANTONIO, TX
Past
November 6, 1996 - March 27, 1997
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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".
HS
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
FIRST SOUTHWEST ASSET MANAGEMENT INC | HILLTOP SECURITIES ASSET MANAGEMENT, LLC | FIRST SOUTHWEST ASSET MANAGEMENT, LLC
CRD#: 110760 / SEC#: 801-40189
RIA
Registered Investment Advisory firm - (12/17/1991 Approved)Maryland
Registered Investment Advisory firm - (3/1/2019 Terminated)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
Alabama(4/20/2017)
RR
Alaska(4/20/2017)
RR
Arizona(4/20/2017)
IAR
Arizona(6/11/2025)
RR
Arkansas(4/20/2017)
RR
California(4/20/2017)
IAR
California(5/12/2025)
RR
Colorado(4/20/2017)
RR
Connecticut(4/20/2017)
RR
Delaware(4/20/2017)
RR
District of Columbia(4/20/2017)
RR
Florida(4/20/2017)
IAR
Florida(6/2/2025)
RR
Georgia(4/20/2017)
RR
Hawaii(4/20/2017)
RR
Idaho(4/20/2017)
RR
Illinois(4/20/2017)
RR
Indiana(4/20/2017)
RR
Iowa(4/20/2017)
RR
Kansas(4/20/2017)
RR
Kentucky(4/20/2017)
RR
Louisiana(4/20/2017)
RR
Maine(4/20/2017)
IAR
Maine(5/12/2025)
RR
Maryland(4/20/2017)
RR
Massachusetts(4/20/2017)
RR
Michigan(4/20/2017)
RR
Minnesota(4/20/2017)
RR
Mississippi(4/20/2017)
RR
Missouri(4/20/2017)
RR
Montana(4/20/2017)
RR
Nebraska(4/20/2017)
RR
Nevada(4/20/2017)
RR
New Hampshire(4/20/2017)
RR
New Jersey(4/20/2017)
RR
New Mexico(4/20/2017)
RR
New York(4/20/2017)
RR
North Carolina(4/20/2017)
RR
North Dakota(4/20/2017)
RR
Ohio(4/20/2017)
RR
Oklahoma(4/20/2017)
RR
Oregon(4/20/2017)
RR
Pennsylvania(7/18/2017)
RR
Puerto Rico(4/20/2017)
RR
Rhode Island(4/20/2017)
RR
South Carolina(4/20/2017)
RR
South Dakota(4/20/2017)
RR
Tennessee(4/20/2017)
RR
Texas(1/22/2016)
IAR
Texas(5/12/2025)
RR
Utah(4/20/2017)
RR
Vermont(4/20/2017)
RR
Virgin Islands(4/20/2017)
RR
Virginia(4/20/2017)
IAR
Virginia(6/11/2025)
RR
Washington(4/20/2017)
RR
West Virginia(4/20/2017)
RR
Wisconsin(4/20/2017)
RR
Wyoming(4/20/2017)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 5/12/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/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
HS
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
FIRST SOUTHWEST ASSET MANAGEMENT INC | HILLTOP SECURITIES ASSET MANAGEMENT, LLC | FIRST SOUTHWEST ASSET MANAGEMENT, LLC
CRD#: 110760 / SEC#: 801-40189
RIA
Registered Investment Advisory firm - (12/17/1991 Approved)Maryland
Registered Investment Advisory firm - (3/1/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
717 N. Harwood Street Suite 3400, Dallas, TX 75201
Mailing Address
Phone number
(214) 953-4000
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 54 |
| AUM (Assets Under Management) | $ 31,688,490,690 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
