Thomas G. Warner

HILLTOP SECURITIES ASSET MANAGEMENT

Austin, TX 78746

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CRD#: 3146235

Professional summary

Thomas Gregory Warner, who also goes by Greg Warner, T. Gregory Warner, is a registered financial advisor currently at HILLTOP SECURITIES ASSET MANAGEMENT, LLC located in Austin, Texas and HILLTOP SECURITIES INC. located in Austin, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Greg Warner | T. Gregory Warner

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) - RIA

Click below to view Thomas Gregory Warner'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

August 2, 1999 - Present

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

Office #1: 2700 Via Fortuna Suite 100, Austin, TX 78746

RIA

CRD#: 110760

Austin, TX

Current

January 22, 2016 - Present

HILLTOP SECURITIES INC.

Office #1: 2700 Via Fortuna Suite 410, Austin, TX 78746

RIA

CRD#: 6220

Austin, TX

Past

January 4, 2021 - May 19, 2025

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

DALLAS, TX

Past

July 7, 2016 - December 13, 2018

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

DALLAS, TX

Past

December 14, 1998 - January 22, 2016

FIRST SOUTHWEST COMPANY, LLC

CRD#: 316

AUSTIN, TX

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

Arizona
(9/22/2004)

Arizona
(1/22/2016)

IAR

Florida
(9/13/2004)

Florida
(1/22/2016)

IAR

Texas
(8/2/1999)

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 65

Date: 6/11/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/7/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/1998

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Thomas G. Warner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Gregory Warner's CRS (Customer Relationship Summary).

Certified licenses

Experience

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

FIRST SOUTHWEST COMPANY, LLC

Primary Firm SEC Registration

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/11/1999

Series 63

Date: 1/7/1999

SIE

Date: 10/1/2018

Series 7

Date: 12/9/1998

FINRA

Nasdaq Stock Market

New York Stock Exchange

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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