KH
Kimberly J. Harris
HILLTOP SECURITIES
St. Paul, MN 55101
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CRD#: 2964617
KH
Professional summary
Kimberly Joy Harris is a registered financial professional currently at HILLTOP SECURITIES INC. located in St. Paul, Minnesota.
Kimberly is registered as a RR (Registered Representative) and started their career in finance in 2000. Kimberly has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view Kimberly Joy Harris'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 5, 2026 - Present
HILLTOP SECURITIES INC.
Office #1: 30 East 7th Street Suite 260, St. Paul, MN 55101RIA
BD
CRD#: 6220
St. Paul, MN
Past
February 24, 2014 - December 31, 2025
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
January 3, 2014 - February 27, 2014
PHILLIPS AND COMPANY ADVISORS LLC
RIA
CRD#: 167214
PORTLAND, OR
Past
January 8, 2013 - December 31, 2013
PHILLIPS & COMPANY
RIA
CRD#: 35800
PORTLAND, OR
Past
January 8, 2013 - February 25, 2014
PHILLIPS & COMPANY
BD
CRD#: 35800
PORTLAND, OR
Past
May 4, 2009 - November 8, 2012
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
PORTLAND, OR
Past
May 4, 2009 - November 8, 2012
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
PORTLAND, OR
Past
August 4, 2008 - May 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
PORTLAND, OR
Past
May 2, 2008 - May 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PORTLAND, OR
Past
July 18, 2006 - July 26, 2007
SEATTLE-NORTHWEST SECURITIES CORPORATION
BD
CRD#: 10639
PORTLAND, OR
Past
June 16, 2001 - June 22, 2006
FERRIS, BAKER WATTS, LLC
BD
CRD#: 285
BALTIMORE, MD
Past
March 8, 2000 - June 7, 2001
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
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.
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(1/5/2026)
RR
Alaska(1/5/2026)
RR
Arizona(1/5/2026)
RR
Arkansas(1/5/2026)
RR
California(1/5/2026)
RR
Colorado(1/5/2026)
RR
Connecticut(1/5/2026)
RR
Delaware(1/5/2026)
RR
District of Columbia(1/5/2026)
RR
Florida(1/5/2026)
RR
Georgia(1/5/2026)
RR
Hawaii(1/5/2026)
RR
Idaho(1/5/2026)
RR
Illinois(1/5/2026)
RR
Indiana(1/5/2026)
RR
Iowa(1/5/2026)
RR
Kansas(1/5/2026)
RR
Kentucky(1/5/2026)
RR
Louisiana(1/5/2026)
RR
Maine(1/5/2026)
RR
Maryland(1/5/2026)
RR
Massachusetts(1/5/2026)
RR
Michigan(1/5/2026)
RR
Minnesota(1/5/2026)
RR
Mississippi(1/5/2026)
RR
Missouri(1/5/2026)
RR
Montana(1/8/2026)
RR
Nebraska(1/5/2026)
RR
Nevada(1/5/2026)
RR
New Hampshire(1/5/2026)
RR
New Jersey(1/5/2026)
RR
New Mexico(1/5/2026)
RR
New York(1/5/2026)
RR
North Carolina(1/5/2026)
RR
North Dakota(1/5/2026)
RR
Ohio(1/5/2026)
RR
Oklahoma(1/5/2026)
RR
Oregon(1/5/2026)
RR
Pennsylvania(1/5/2026)
RR
Puerto Rico(1/5/2026)
RR
Rhode Island(1/5/2026)
RR
South Carolina(1/5/2026)
RR
South Dakota(1/5/2026)
RR
Tennessee(1/5/2026)
RR
Texas(1/5/2026)
RR
Utah(1/5/2026)
RR
Vermont(1/5/2026)
RR
Virgin Islands(1/5/2026)
RR
Virginia(1/5/2026)
RR
Washington(1/5/2026)
RR
West Virginia(1/5/2026)
RR
Wisconsin(1/5/2026)
RR
Wyoming(1/5/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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 | 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.
Company Information
HILLTOP SECURITIES INC.
CRD#: 6220St. Paul, MN 55101TRUST BUT VERIFY
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