Frederick O. Biddenstadt

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CRD#: 3002675

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Frederick Owen Biddenstadt, who also goes by Rick Biddenstadt, was a registered financial professional .

Frederick is a previously registered financial professional and started their career in finance in 1999. Frederick had worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick Biddenstadt

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 22, 2008 - April 2, 2014

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

RIA

CRD#: 110760

DALLAS, TX

Past

January 22, 2008 - March 24, 2014

FIRST SOUTHWEST COMPANY, LLC

CRD#: 316

DALLAS, TX

Past

February 21, 2006 - January 17, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

DALLAS, TX

Past

February 21, 2006 - January 17, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

DALLAS, TX

Past

April 8, 2004 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

DALLAS, TX

Past

April 8, 2004 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

August 22, 2003 - May 7, 2004

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

January 3, 2003 - June 30, 2003

HODGES CAPITAL MANAGEMENT INC

RIA

CRD#: 110080

DALLAS , TX

Past

November 5, 2002 - June 30, 2003

FIRST DALLAS SECURITIES INCORPORATED

CRD#: 24549

DALLAS, TX

Past

November 30, 1999 - November 19, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DALLAS, TX

Past

October 21, 1999 - November 19, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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 ASSET MANAGEMENT, LLC

FIRST SOUTHWEST ASSET MANAGEMENT INC | HILLTOP SECURITIES ASSET MANAGEMENT, LLC | FIRST SOUTHWEST ASSET MANAGEMENT, LLC

CRD#: 110760 / SEC#: 801-40189

RIA

Registered Investment Advisory firm - (12/17/1991 Approved)

Maryland

Registered Investment Advisory firm - (3/1/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/5/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/29/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/20/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/9/2009

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 10/14/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/1/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

FIRST SOUTHWEST ASSET MANAGEMENT INC | HILLTOP SECURITIES ASSET MANAGEMENT, LLC | FIRST SOUTHWEST ASSET MANAGEMENT, LLC

CRD#: 110760 / SEC#: 801-40189

RIA

Registered Investment Advisory firm - (12/17/1991 Approved)

Maryland

Registered Investment Advisory firm - (3/1/2019 Terminated)

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Contact information

Main Address

717 N. Harwood Street Suite 3400, Dallas, TX 75201

Mailing Address

Phone number

(214) 953-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

HSAM DISCLOSURE BROCHURE 03/24/2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	54
AUM (Assets Under Management)	$ 31,688,490,690

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.

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Firm Stability Insights

Frederick O. Biddenstadt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST SOUTHWEST COMPANY, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

1ST GLOBAL CAPITAL CORP.

HODGES CAPITAL MANAGEMENT INC

FIRST DALLAS SECURITIES INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/5/2000

Series 63

Date: 11/29/1999

Series 7

Date: 10/20/1999

Series 24

Date: 10/9/2009

Series 10

Date: 10/14/2004

Series 9

Date: 7/1/2004

Current Firm

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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