Traci Kurtz
Professional summary
Traci Kurtz, who also goes by Traci G Kurtz, Traci Gail Kurtz, Traci G. Lewis, Traci Gail Lewis, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Aubrey, Texas and MOMENTUM INDEPENDENT NETWORK INC. located in Aubrey, Texas.
Traci is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Traci has worked at 19 firms and has passed the Series 65, Series 63, Series 82TO, SIE, Series 7, Series 6, Series 10, Series 24, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Traci Kurtz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Traci Kurtz's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 8, 2023 - Present
HILLTOP SECURITIES INC.
October 21, 2024 - Present
MOMENTUM INDEPENDENT NETWORK INC.
May 8, 2023 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201May 8, 2023 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201March 4, 2022 - May 19, 2023
CETERA WEALTH SERVICES, LLC
March 4, 2022 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
March 4, 2022 - May 19, 2023
CETERA INVESTMENT SERVICES LLC
March 4, 2022 - May 19, 2023
CETERA FINANCIAL SPECIALISTS LLC
March 4, 2022 - May 19, 2023
CETERA ADVISORS LLC
March 4, 2022 - May 19, 2023
CETERA WEALTH SERVICES, LLC
April 12, 2019 - February 18, 2022
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
March 4, 2019 - February 18, 2022
MOMENTUM INDEPENDENT NETWORK INC.
March 4, 2019 - February 18, 2022
HILLTOP SECURITIES INC.
March 4, 2019 - February 18, 2022
MOMENTUM INDEPENDENT NETWORK INC.
March 4, 2019 - February 18, 2022
HILLTOP SECURITIES INC.
July 8, 2014 - February 6, 2019
NEXT FINANCIAL GROUP, INC.
July 8, 2014 - February 6, 2019
NEXT FINANCIAL GROUP, INC.
August 9, 2011 - January 27, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 21, 2011 - January 27, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 2009 - November 12, 2010
WELLS FARGO CLEARING SERVICES, LLC
May 27, 2008 - March 3, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 9, 2006 - August 7, 2007
KESTRA INVESTMENT SERVICES, LLC
August 30, 2004 - May 10, 2006
AMERICAN GENERAL EQUITY SERVICES CORPORATION
February 22, 2001 - December 11, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
January 26, 2001 - May 10, 2006
AMERICAN GENERAL SECURITIES INCORPORATED
January 17, 2001 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
October 30, 2000 - December 11, 2001
VALIC FINANCIAL ADVISORS, INC.
October 30, 2000 - November 19, 2003
AMERICAN GENERAL DISTRIBUTORS, INC.
July 6, 1998 - September 1, 2000
INVESCO CAPITAL MARKETS, INC.
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
(5/8/2023)
(5/8/2023)
Exams
Series 82TO
Date: 5/8/2023
Limited Representative-Private Securities OfferingsFINRA
Nasdaq Stock Market
New York Stock Exchange
Current 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 | BOARD DIRECTOR | 4326551 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| LEVENTHAL, LAURA | TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER | 1175259 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 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.
