Bryan D. Hicks
HILLTOP SECURITIES
SAN ANTONIO, TX 78216
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CRD#: 3249437
Professional summary
Bryan Douglas Hicks, who also goes by Bryan Douglas Hicks, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in San Antonio, Texas.
Bryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Bryan has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bryan Douglas Hicks
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 Bryan Douglas Hicks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bryan Douglas Hicks'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
March 15, 2024 - Present
HILLTOP SECURITIES INC.
Office #1: 70 Northeast Loop 410 Suite 750, San Antonio, TX 78216RIA
BD
CRD#: 6220
SAN ANTONIO, TX
Current
March 15, 2024 - Present
HILLTOP SECURITIES INC.
Office #1: 70 Northeast Loop 410 Suite 750, San Antonio, TX 78216RIA
BD
CRD#: 6220
SAN ANTONIO, TX
Past
April 21, 2022 - February 22, 2024
EDWARD JONES
RIA
CRD#: 250
SAN ANTONIO, TX
Past
April 21, 2022 - February 22, 2024
EDWARD JONES
BD
CRD#: 250
SAN ANTONIO, TX
Past
December 16, 2009 - May 5, 2022
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
San Antonio, TX
Past
December 16, 2009 - May 5, 2022
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
San Antonio, TX
Past
October 23, 2009 - November 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOUSTON, TX
Past
October 23, 2009 - November 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HOUSTON, TX
Past
September 4, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
KATY, TX
Past
September 4, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
KATY, TX
Past
January 30, 2008 - September 8, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
RIA
CRD#: 103919
HOUSTON, TX
Past
May 16, 2007 - September 8, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
BD
CRD#: 103919
HOUSTON, TX
Past
July 25, 2005 - May 11, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
KATY, TX
Past
July 25, 2005 - May 11, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
KATY, TX
Past
June 11, 2004 - March 3, 2005
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
HOUSTON, TX
Past
April 19, 2001 - March 3, 2005
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
July 12, 1999 - February 27, 2001
J.P. SECURITIES, INC.
BD
CRD#: 36559
BELLEVUE, NE
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
Arizona(5/1/2024)
IAR
Arizona(5/15/2024)
RR
Colorado(3/15/2024)
IAR
Colorado(5/31/2024)
RR
Florida(3/15/2024)
IAR
Florida(7/2/2024)
RR
Illinois(4/22/2024)
IAR
Illinois(8/29/2024)
RR
Kentucky(3/15/2024)
IAR
Kentucky(8/6/2024)
RR
New York(1/27/2025)
IAR
New York(1/27/2025)
RR
Ohio(8/20/2024)
IAR
Ohio(5/9/2025)
RR
Oklahoma(4/17/2024)
IAR
Oklahoma(4/23/2024)
RR
Tennessee(8/15/2024)
RR
Texas(3/15/2024)
IAR
Texas(3/15/2024)
RR
Virginia(3/13/2025)
IAR
Virginia(3/13/2025)
Exams
State Security Law Exam
State Security Law 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 | BOARD DIRECTOR | 4326551 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| LEVENTHAL, LAURA | TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER | 1175259 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 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.
