GM
Gayle M. Mabry
HILLTOP SECURITIES
Memphis, TN 38119
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CRD#: 2900431
GM
Professional summary
Gayle Marie Mabry, who also goes by Gayle Marie Lancaster, Gayle M Mabry, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Memphis, Tennessee.
Gayle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Gayle has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gayle Marie Lancaster | Gayle M Mabry
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.
Mabry's Business, LLC; Non investment - related; 1833 Chisolm Trail Lewisville, TX 75077; Family owned real estate located in Claiborne Parish, LA acquired through inheritance; Registered Agent; Start date: 4/15/2022; 0 hours/ month devoted - none during securities trading hours; Registered Agent - responsibility to receive any process, notice, or demand that is served on me as the registered agent of the LLC and to forward such to the Managing Member.
CRS (Client Relationship Summary) - RIA
Click below to view Gayle Marie Mabry's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gayle Marie Mabry'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
January 21, 2025 - Present
HILLTOP SECURITIES INC.
Office #1: 5350 Poplar Ave. Suite 150, Memphis, TN 38119RIA
BD
CRD#: 6220
Memphis, TN
Current
January 21, 2025 - Present
HILLTOP SECURITIES INC.
Office #1: 5350 Poplar Ave. Suite 150, Memphis, TN 38119RIA
BD
CRD#: 6220
Memphis, TN
Past
August 27, 2022 - December 23, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
Memphis, TN
Past
May 26, 2020 - December 31, 2022
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
Memphis, TN
Past
May 26, 2020 - December 23, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Memphis, TN
Past
August 24, 2016 - May 28, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SOUTHLAKE, TX
Past
February 5, 2015 - August 17, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SOUTHLAKE, TX
Past
February 13, 2013 - December 23, 2014
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
DALLAS, TX
Past
January 20, 1998 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
DALLAS, TX
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
Arkansas(1/21/2025)
RR
Florida(1/21/2025)
RR
Georgia(1/21/2025)
RR
Idaho(1/21/2025)
RR
Kansas(1/21/2025)
RR
Maine(1/21/2025)
RR
Maryland(1/21/2025)
RR
New York(1/21/2025)
RR
North Carolina(1/21/2025)
RR
Pennsylvania(1/21/2025)
RR
Tennessee(1/21/2025)
IAR
Tennessee(1/21/2025)
RR
Texas(1/21/2025)
IAR
Texas(1/21/2025)
RR
Virginia(1/21/2025)
RR
West Virginia(1/21/2025)
Exams
State Security Law Exam
State Security Law Exam
General 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)
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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#: 6220Memphis, TN 38119TRUST BUT VERIFY
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