AS
Aaron D. Schmanski
HILLTOP SECURITIES
Grafton, WI
Some features on this profile are disabled
CRD#: 4185649
AS
Professional summary
Aaron Daniel Schmanski, who also goes by Aaron D Schmanski, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Grafton, Wisconsin.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Aaron has worked at 9 firms and has passed the Series 66, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Aaron D Schmanski
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.
Grafton Little League; non-investment related; Grafton, WI; board member of non-profit baseball organization; started May 1, 2021; Avg 90 hrs/yr; zero hrs/yr during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Daniel Schmanski's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Aaron Daniel Schmanski'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
November 17, 2021 - Present
HILLTOP SECURITIES INC.
RIA
BD
CRD#: 6220
Grafton, WI
Current
November 17, 2021 - Present
HILLTOP SECURITIES INC.
RIA
BD
CRD#: 6220
Grafton, WI
Past
June 19, 2020 - August 26, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
MADISON, WI
Past
June 19, 2020 - August 26, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
MADISON, WI
Past
March 2, 2017 - October 17, 2018
PIPER SANDLER & CO.
RIA
CRD#: 665
Milwaukee, WI
Past
November 30, 2016 - October 17, 2018
PIPER SANDLER & CO.
BD
CRD#: 665
Milwaukee, WI
Past
May 26, 2015 - November 30, 2016
NORTHLAND SECURITIES, INC.
RIA
CRD#: 40258
MILWAUKEE, WI
Past
May 26, 2015 - November 30, 2016
NORTHLAND SECURITIES, INC.
BD
CRD#: 40258
MILWAUKEE, WI
Past
October 21, 2011 - May 18, 2015
BOK FINANCIAL SECURITIES, INC.
RIA
CRD#: 17530
MILWAUKEE, WI
Past
October 21, 2011 - May 18, 2015
BOK FINANCIAL SECURITIES, INC.
BD
CRD#: 17530
MILWAUKEE, WI
Past
October 20, 2010 - October 17, 2011
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
MILWAUKEE, WI
Past
August 12, 2009 - August 12, 2009
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
BIRMINGHAM, AL
Past
August 12, 2009 - October 17, 2011
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
MILWAUKEE, WI
Past
April 11, 2001 - July 17, 2009
M&I FINANCIAL ADVISORS, INC
BD
CRD#: 16517
MILWAUKEE, WI
Past
July 25, 2000 - February 23, 2001
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
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(3/24/2022)
RR
Alaska(3/24/2022)
RR
Arizona(3/24/2022)
RR
Arkansas(3/24/2022)
RR
California(3/24/2022)
RR
Colorado(3/24/2022)
RR
Connecticut(3/24/2022)
RR
Delaware(3/24/2022)
RR
District of Columbia(3/24/2022)
RR
Florida(3/24/2022)
RR
Georgia(3/24/2022)
RR
Hawaii(3/24/2022)
RR
Idaho(3/24/2022)
RR
Illinois(11/17/2021)
IAR
Illinois(11/29/2021)
RR
Indiana(3/24/2022)
RR
Iowa(3/24/2022)
RR
Kansas(3/24/2022)
RR
Kentucky(3/24/2022)
RR
Louisiana(3/24/2022)
RR
Maine(3/24/2022)
RR
Maryland(3/24/2022)
RR
Massachusetts(3/24/2022)
RR
Michigan(11/17/2021)
IAR
Michigan(11/19/2021)
RR
Minnesota(3/24/2022)
RR
Mississippi(3/24/2022)
RR
Missouri(11/17/2021)
IAR
Missouri(11/17/2021)
RR
Montana(3/24/2022)
RR
Nebraska(3/24/2022)
RR
Nevada(11/17/2021)
IAR
Nevada(12/1/2021)
RR
New Hampshire(3/24/2022)
RR
New Jersey(3/24/2022)
RR
New Mexico(3/24/2022)
RR
New York(3/24/2022)
RR
North Carolina(3/24/2022)
RR
North Dakota(3/24/2022)
RR
Ohio(3/24/2022)
RR
Oklahoma(3/24/2022)
RR
Oregon(3/24/2022)
RR
Pennsylvania(3/24/2022)
RR
Puerto Rico(3/24/2022)
RR
Rhode Island(3/24/2022)
RR
South Carolina(3/24/2022)
RR
South Dakota(3/24/2022)
RR
Tennessee(3/24/2022)
RR
Texas(3/24/2022)
RR
Utah(3/24/2022)
RR
Vermont(3/24/2022)
RR
Virgin Islands(3/24/2022)
RR
Virginia(3/24/2022)
RR
Washington(3/24/2022)
RR
West Virginia(3/24/2022)
RR
Wisconsin(11/17/2021)
IAR
Wisconsin(11/17/2021)
RR
Wyoming(3/24/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral 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 | 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.
