SM
Scott E. Mccaffrey
HILLTOP SECURITIES
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 3076398
SM
Professional summary
Scott Edward Mccaffrey, who also goes by Scott E Mccaffrey, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Dallas, Texas.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Scott has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 31, Series 7, Series 9, Series 10, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott E Mccaffrey
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) - RIA
Click below to view Scott Edward Mccaffrey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Edward Mccaffrey'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
July 17, 2023 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Current
July 17, 2023 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Current
July 18, 2023 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 17587
Dallas, TX
Past
November 19, 2012 - July 18, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
DALLAS, TX
Past
November 19, 2012 - July 18, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
October 26, 2010 - October 13, 2011
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
DALLAS, TX
Past
September 9, 2010 - October 13, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
DALLAS, TX
Past
December 3, 2009 - September 3, 2010
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
ADDISON, TX
Past
December 3, 2009 - September 3, 2010
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
ADDISON, TX
Past
May 22, 2006 - December 7, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DALLAS, TX
Past
May 22, 2006 - December 7, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DALLAS, TX
Past
June 24, 2004 - May 16, 2006
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
AMARILLO, TX
Past
July 6, 2001 - May 16, 2006
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
AMARILLO, TX
Past
October 7, 1999 - June 28, 2001
M&T SECURITIES, INC.
BD
CRD#: 17358
BALTIMORE, MD
Past
July 24, 1998 - September 13, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
Alabama(7/18/2023)
RR
Alaska(7/18/2023)
RR
Arizona(7/18/2023)
RR
Arkansas(7/18/2023)
RR
California(7/18/2023)
RR
Colorado(7/18/2023)
RR
Connecticut(7/18/2023)
RR
Delaware(7/18/2023)
RR
District of Columbia(7/18/2023)
RR
Florida(7/18/2023)
RR
Georgia(7/18/2023)
RR
Hawaii(7/18/2023)
RR
Idaho(7/18/2023)
RR
Illinois(7/18/2023)
RR
Indiana(7/18/2023)
RR
Iowa(7/18/2023)
RR
Kansas(7/18/2023)
RR
Kentucky(7/18/2023)
RR
Louisiana(7/18/2023)
RR
Maine(7/18/2023)
RR
Maryland(7/18/2023)
RR
Massachusetts(7/18/2023)
RR
Michigan(7/18/2023)
RR
Minnesota(7/18/2023)
RR
Mississippi(7/18/2023)
RR
Missouri(7/18/2023)
RR
Montana(7/18/2023)
RR
Nebraska(7/18/2023)
RR
Nevada(7/18/2023)
RR
New Hampshire(7/18/2023)
RR
New Jersey(7/18/2023)
RR
New Mexico(7/18/2023)
RR
New York(7/18/2023)
RR
North Carolina(7/18/2023)
RR
North Dakota(7/18/2023)
RR
Ohio(7/18/2023)
RR
Oklahoma(7/18/2023)
RR
Oregon(7/18/2023)
RR
Pennsylvania(7/18/2023)
RR
Puerto Rico(7/18/2023)
RR
Rhode Island(7/18/2023)
RR
South Carolina(7/18/2023)
RR
South Dakota(7/18/2023)
RR
Tennessee(7/18/2023)
RR
Texas(7/17/2023)
IAR
Texas(7/17/2023)
RR
Utah(7/18/2023)
RR
Vermont(7/18/2023)
RR
Virginia(7/18/2023)
RR
Washington(7/18/2023)
RR
West Virginia(7/18/2023)
RR
Wisconsin(7/18/2023)
RR
Wyoming(7/18/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 7/17/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 6220Dallas, TX 75201TRUST BUT VERIFY
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