James Earl Pence Ii
Professional Summary
James Earl Pence II, who also goes by James E (jr) Pence, James Earl Pence Jr, James Earl Pence II Ii, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Norman, Oklahoma. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James E (jr) Pence, James Earl Pence Jr, James Earl Pence Ii Ii
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
29 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
HILLTOP SECURITIES INC. | SWS SECURITIES, INC. | SWS SECURITIES INC. | SOUTHWEST SECURITIES, INC.
Contact Information
Main Address
717 N. Harwood Street Suite 3400, Dallas, TX 75201Mailing Address
717 Harwood Street Suite 3400, Dallas, TX 75201Phone Number
(214) 953-4000Established
Delaware since 12/31/1991Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
92SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
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 |
| 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
5,592AUM (Assets Under Management)
$2,507,522,526Disclosures
Regulatory Event
56Arbitration
22Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/22/2026 | Cover Page | Report |
| 08/21/2025 | Cover Page | Report |
| 07/26/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
HILLTOP SECURITIES INC. | SWS SECURITIES, INC. | SWS SECURITIES INC. | SOUTHWEST SECURITIES, INC.
State Registrations and Notice Filings
(1/2/2019)
(1/2/2025)
(6/20/2016)
(8/23/2021)
(6/8/2023)
(8/11/2022)
(5/7/2025)
(12/3/2020)
(8/12/2020)
(3/17/2022)
(7/21/2009)
(6/26/2017)
(6/5/2009)
(6/5/2009)
(8/12/2022)
(7/21/2009)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Earl Pence II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Earl Pence II's CRS (Customer Relationship Summary).
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