Barbara Ellen Pittman
Professional Summary
Barbara Ellen Pittman, who also goes by Barbara E Brichler, Barbara Ellen Sommers, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Dallas, Texas and MOMENTUM INDEPENDENT NETWORK INC. located in Dallas, Texas. Barbara is registered as a RR (Registered Representative) and started their career in finance in 2000. Barbara has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 6, Series 51 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Barbara E Brichler, Barbara Ellen Sommers
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
Contact Information
Main Address
717 N. Harwood Street Suite 3400, Dallas, TX 75201Mailing Address
717 Harwood Street Suite 3400, Dallas, TX 75201Phone Number
(214) 859-1800Established
Texas since 01/07/1983Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
97SEC notice filing (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILLTOP SECURITIES HOLDINGS, LLC | PARENT | — |
| ALEXANDER, LAURA BONNELL | BOARD DIRECTOR | 2900382 |
| COYA, SCOTT ANDREW | CHIEF COMPLIANCE OFFICER | 2511281 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| LEVENTHAL, LAURA | TREASURER | 1175259 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| MCCAFFREY, SCOTT EDWARD | MANAGING DIRECTOR - PRESIDENT OF MOMENTUM INDEPENDENT NETWORK INC. | 3076398 |
| MEDANICH, DAVID KING | BOARD DIRECTOR | 1030727 |
| WINGES, MARTIN BRADLEY | CEO | 1929509 |
| WINGES, MARTIN BRADLEY | CHAIRMAN OF THE BOARD | 1929509 |
| WITTNEBEN, BRIAN LANE | GENERAL COUNSEL/SECRETARY | 4861905 |
Regulatory Assets Under Management
Total Number of Accounts
4,721AUM (Assets Under Management)
$1,609,472,813Disclosures
Regulatory Event
10Arbitration
3Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/22/2026 | Cover Page | Report |
| 08/21/2025 | Cover Page | Report |
| 07/26/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
State Registrations and Notice Filings
(1/4/2016)
(1/3/2017)
(12/3/2015)
(12/3/2015)
(12/3/2015)
(12/3/2015)
(1/4/2016)
(1/28/2016)
(1/3/2017)
(1/4/2016)
(1/11/2016)
(1/3/2017)
(12/3/2015)
(12/3/2015)
(12/3/2015)
(12/3/2015)
(1/11/2016)
(1/11/2016)
(1/11/2016)
(1/3/2017)
(1/11/2016)
(1/28/2016)
(1/28/2016)
(1/28/2016)
(4/14/2016)
(1/4/2016)
(1/28/2016)
(1/28/2016)
(1/28/2016)
(4/14/2016)
(4/14/2016)
(1/4/2016)
(1/28/2016)
(1/5/2016)
(1/3/2017)
(1/28/2016)
(12/3/2015)
(4/14/2016)
(1/28/2016)
(4/14/2016)
(1/4/2016)
(1/28/2016)
(4/14/2016)
(1/23/2006)
(4/14/2016)
(4/14/2016)
(1/3/2017)
(5/20/2016)
(4/14/2016)
(1/3/2017)
(4/14/2016)
(4/14/2016)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2000About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Apr 2002About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Barbara Ellen Pittman's CRS (Customer Relationship Summary).
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