Donald F. Foley

HILLTOP SECURITIES ASSET MANAGEMENT

Dallas, TX 75201

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CRD#: 3064794

Professional summary

Donald Francis Foley JR, who also goes by Donald Franics Foley Jr, is a registered financial advisor currently at HILLTOP SECURITIES ASSET MANAGEMENT, LLC located in Dallas, Texas and HILLTOP SECURITIES INC. located in Dallas, Texas.

Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Donald has worked at 5 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Donald Franics Foley Jr

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.

Hilltop Holdings Inc. - Compliance responsibility over HTS, a subsidiary of HTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Francis Foley JR'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®

None

Experience

Current

May 1, 2006 - Present

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201

RIA

CRD#: 110760

Dallas, TX

Current

January 22, 2016 - Present

HILLTOP SECURITIES INC.

Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201

RIA

CRD#: 6220

Dallas, TX

Past

March 16, 2006 - April 27, 2006

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

RIA

CRD#: 110760

DALLAS, TX

Past

October 11, 2005 - January 22, 2016

FIRST SOUTHWEST COMPANY, LLC

CRD#: 316

DALLAS, TX

Past

June 3, 2004 - September 30, 2005

J. B. HANAUER & CO.

RIA

CRD#: 6958

PARSIPPANY, NJ

Past

October 10, 2002 - September 30, 2005

J. B. HANAUER & CO.

CRD#: 6958

PARSIPPANY, NJ

Past

February 26, 2002 - October 10, 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

Texas
(5/1/2006)

Texas
(1/22/2016)

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

State Security Law Exam

IAR

Series 66

Date: 5/29/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/25/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/18/2005

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 1/31/2004

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/8/2003

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

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

Donald F. Foley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Francis Foley JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

HILLTOP SECURITIES INC.

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

FIRST SOUTHWEST COMPANY, LLC

J. B. HANAUER & CO.

J. B. HANAUER & CO.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/29/2004

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 7

Date: 2/25/2002

Series 4

Date: 6/18/2005

Series 53

Date: 1/31/2004

Series 24

Date: 8/8/2003

FINRA

Nasdaq Stock Market

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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