Michael G. Wadsworth
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Gene Wadsworth was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1974. Michael had worked at 9 firms and has passed the SIE, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2004 - April 18, 2016
HILLTOP SECURITIES INC.
February 3, 2003 - March 16, 2004
PENSON FINANCIAL SERVICES, INC.
September 8, 2000 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
June 21, 2000 - September 1, 2000
PENSON FINANCIAL SERVICES, INC.
June 4, 1999 - October 15, 2001
PHN CAPITAL FUNDING INC.
February 8, 1999 - March 2, 1999
PENSON FINANCIAL SERVICES, INC.
August 28, 1991 - February 8, 1999
HILLTOP SECURITIES INC.
December 24, 1987 - August 16, 1991
MASTERSON MORELAND SAUER WHISMAN, INC.
December 9, 1980 - October 5, 1987
ROTAN MOSLE INC.
May 18, 1979 - November 10, 1980
ALEX. BROWN & SONS INCORPORATED
July 19, 1978 - May 28, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 16, 1974 - August 13, 1978
WHITE, WELD & CO. INCORPORATED
Primary Firm SEC Registration
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 000
Date: 4/11/1974
General Securities Principal ExaminationSeries 1
Date: 4/11/1974
Registered Representative ExaminationCurrent Firm
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
Contact information
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.
