KJ
Kermit Johns
HILLTOP SECURITIES
Austin, TX 78731
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CRD#: 2949339
KJ
Professional summary
Kermit Johns is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Austin, Texas.
Kermit is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Kermit has worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 Kermit Johns'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 20, 2023 - Present
HILLTOP SECURITIES INC.
Office #1: 7000 North Mopac Expressway Suite 400, Austin, TX 78731RIA
BD
CRD#: 6220
Austin, TX
Past
January 27, 2012 - February 22, 2023
WORTHPOINTE
RIA
CRD#: 143996
AUSTIN, TX
Past
January 27, 2009 - March 20, 2012
JOHNS & WILKINSON LLC
RIA
CRD#: 140580
AUSTIN, TX
Past
April 24, 2006 - August 13, 2012
SUMMIT PORTFOLIO MANAGEMENT LLC
RIA
CRD#: 111243
NEW YORK, NY
Past
December 1, 2004 - March 3, 2006
SII INVESTMENTS, INC.
RIA
CRD#: 2225
CUTCHOGUE, NY
Past
December 1, 2004 - March 3, 2006
SII INVESTMENTS, INC.
BD
CRD#: 2225
CUTCHOGUE, NY
Past
August 1, 2003 - December 6, 2004
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
January 2, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
December 31, 2001 - January 27, 2003
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
NEW YORK, NY
Past
November 10, 1997 - December 31, 2001
CHRISTOPHER STREET FINANCIAL, INC.
BD
CRD#: 10250
NEW YORK, NY
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.Highlighted states indicate IAR registrations
IAR
Arizona(2/6/2023)
IAR
California(1/20/2023)
IAR
Colorado(1/23/2023)
IAR
Florida(1/23/2023)
IAR
Georgia(7/29/2024)
IAR
Hawaii(2/11/2025)
IAR
Louisiana(1/23/2023)
IAR
Massachusetts(5/7/2025)
IAR
New Jersey(1/20/2023)
IAR
New Mexico(1/20/2023)
IAR
New York(1/20/2023)
IAR
Ohio(1/20/2023)
IAR
Oklahoma(6/6/2023)
IAR
Pennsylvania(1/23/2023)
IAR
Texas(1/20/2023)
IAR
Washington(6/30/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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.
