SR
Stuart A. Ray
HILLTOP SECURITIES
Memphis, TN 38119
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CRD#: 3058564
SR
Professional summary
Stuart A Ray, CFP®, who also goes by Stuart Allan Ray, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Memphis, Tennessee.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Stuart has worked at 6 firms and has passed the Series 66, SIE, Series 3, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stuart Allan Ray
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.
1. TWO RENTAL PROPERTIES, CO-OWNER WITH WIFE; INVESTMENT RELATED; RENTAL PROPERTIES: 473 QUINN, COLLIERVILLE, TN; 1021 N RIVERMONT PL, CHATTANOOGA, TN; COLLECT RENTS, COORDINATE PROPERTY MAINTENANCE; 2 HRS/MONTH DEVOTED, 0 DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Stuart A Ray's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stuart A Ray'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®
CFP®
Start date: 2007
Experience
Current
August 5, 2024 - Present
HILLTOP SECURITIES INC.
Office #1: 5350 Poplar Ave. Suite 150, Memphis, TN 38119RIA
BD
CRD#: 6220
Memphis, TN
Current
August 5, 2024 - Present
HILLTOP SECURITIES INC.
Office #1: 5350 Poplar Ave. Suite 150, Memphis, TN 38119RIA
BD
CRD#: 6220
Memphis, TN
Past
August 25, 2022 - August 8, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
Memphis, TN
Past
July 11, 2017 - December 31, 2022
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
Memphis, TN
Past
July 11, 2017 - August 8, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Memphis, TN
Past
June 1, 2009 - July 12, 2017
MORGAN STANLEY
RIA
CRD#: 149777
MEMPHIS, TN
Past
June 1, 2009 - July 12, 2017
MORGAN STANLEY
BD
CRD#: 149777
MEMPHIS, TN
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
MEMPHIS, TN
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
MEMPHIS, TN
Past
January 22, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MEMPHIS, TN
Past
August 25, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
MEMPHIS, TN
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.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
Arkansas(8/5/2024)
IAR
Arkansas(8/5/2024)
RR
Florida(8/5/2024)
IAR
Florida(8/6/2024)
RR
Georgia(1/30/2025)
IAR
Georgia(1/31/2025)
RR
Illinois(8/5/2024)
IAR
Illinois(8/5/2024)
RR
Kentucky(8/5/2024)
IAR
Kentucky(8/5/2024)
RR
Mississippi(8/5/2024)
IAR
Mississippi(8/5/2024)
RR
Nevada(8/5/2024)
IAR
Nevada(8/8/2024)
RR
Ohio(8/5/2024)
IAR
Ohio(8/5/2024)
RR
Oregon(8/5/2024)
IAR
Oregon(8/5/2024)
RR
Tennessee(8/5/2024)
IAR
Tennessee(8/8/2024)
RR
Texas(8/5/2024)
IAR
Texas(8/5/2024)
RR
Virgin Islands(6/17/2025)
RR
Washington(8/5/2024)
IAR
Washington(8/5/2024)
Exams
State Security Law Exam
General Industry/Product 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 | 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.
Company Information
HILLTOP SECURITIES INC.
CRD#: 6220Memphis, TN 38119TRUST BUT VERIFY
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