Jonathan C. Pence

HILLTOP SECURITIES

Memphis, TN 38119

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CRD#: 4429246

Professional summary

Jonathan Curtis Pence, who also goes by Jon Pence, is a registered financial professional currently at HILLTOP SECURITIES INC. located in Memphis, Tennessee.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2001. Jonathan has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 24 exams.

Aliases

Jon Pence

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) - BD

Click below to view Jonathan Curtis Pence's CRS (Customer Relationship Summary).

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

September 11, 2026 - Present

HILLTOP SECURITIES INC.

Office #1: 5350 Poplar Avenue Suite 150, Memphis, TN 38119

RIA

CRD#: 6220

Memphis, TN

Past

April 22, 2022 - September 23, 2026

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

Germantown, TN

Past

January 11, 2012 - December 18, 2019

ICBA SECURITIES

CRD#: 24088

Germantown, TN

Past

December 20, 2011 - April 22, 2022

VINING-SPARKS IBG, LLC

CRD#: 27502

Germantown, TN

Past

July 30, 2001 - December 12, 2001

TEXAKOMA FINANCIAL, INC.

CRD#: 16910

PLANO, 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 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)

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.

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

Alabama
(9/11/2026)

Alaska
(9/11/2026)

Arizona
(9/11/2026)

Arkansas
(9/11/2026)

California
(9/11/2026)

Colorado
(9/11/2026)

Connecticut
(9/11/2026)

Delaware
(9/11/2026)

District of Columbia
(9/11/2026)

Florida
(9/11/2026)

Georgia
(9/11/2026)

Hawaii
(9/11/2026)

Idaho
(9/11/2026)

Illinois
(9/11/2026)

Indiana
(9/11/2026)

Iowa
(9/11/2026)

Kansas
(9/11/2026)

Kentucky
(9/11/2026)

Louisiana
(9/11/2026)

Maine
(9/11/2026)

Maryland
(9/11/2026)

Massachusetts
(9/11/2026)

Michigan
(9/11/2026)

Minnesota
(9/11/2026)

Mississippi
(9/11/2026)

Missouri
(9/11/2026)

Montana
(9/11/2026)

Nebraska
(9/11/2026)

Nevada
(9/11/2026)

New Hampshire
(9/11/2026)

New Jersey
(9/11/2026)

New Mexico
(9/11/2026)

New York
(9/11/2026)

North Dakota
(9/11/2026)

Ohio
(9/12/2026)

Oklahoma
(9/11/2026)

Oregon
(9/11/2026)

Pennsylvania
(9/11/2026)

Puerto Rico
(9/11/2026)

Rhode Island
(9/11/2026)

South Carolina
(9/11/2026)

South Dakota
(9/11/2026)

Tennessee
(9/11/2026)

Texas
(9/11/2026)

Utah
(9/11/2026)

Vermont
(9/11/2026)

Virgin Islands
(9/11/2026)

Virginia
(9/11/2026)

Washington
(9/11/2026)

West Virginia
(9/11/2026)

Wisconsin
(9/11/2026)

Wyoming
(9/11/2026)

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

What does exam status mean?

State Security Law Exam

Series 63

Status Unavailable

Passed: 12/23/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 12/19/2011

General Securities Representative Examination

General Industry/Product Exam

Series 22

Status Unavailable

Passed: 7/27/2001

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 8/4/2016

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

PREMIUM

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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

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HILLTOP FIRM BROCHURE 03/27/2026 (3/30/2026)

HILLTOP WRAP BROCHURE 08/27/2026 (3/30/2026)

HILLTOP HORIZON PROGRAM BROCHURE 03/27/2026 (3/27/2026)

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
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	5,592
AUM (Assets Under Management)	$ 2,507,522,526

Disclosures

Regulatory Event	56
Arbitration	22

Accountant 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

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.

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Advisor Monitoring

Firm Stability Insights

Jonathan C. Pence

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan Curtis Pence's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

ICBA SECURITIES

VINING-SPARKS IBG, LLC

TEXAKOMA FINANCIAL, INC.

Primary Firm SEC Registration

HILLTOP SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Passed: 12/23/2011

SIE

Passed: 10/1/2018

Series 7

Passed: 12/19/2011

Series 22

Passed: 7/27/2001

Series 24

Passed: 8/4/2016

FINRA

Nasdaq Stock Market

New York Stock Exchange

Current Firm

HILLTOP SECURITIES INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

HILLTOP SECURITIES INC.

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