Blake B. Morris

HILLTOP SECURITIES ASSET MANAGEMENT

Dallas, TX 75201

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CRD#: 4591811

Professional summary

Blake Barnes Morris, who also goes by Morris Barnes Blake, Morris Blake Blake, is a registered financial advisor currently at HILLTOP SECURITIES ASSET MANAGEMENT, LLC located in Dallas, Texas and HILLTOP SECURITIES INC. located in Dallas, Texas.

Blake is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Blake has worked at 6 firms and has passed the Series 66, Series 99TO, Series 52TO, Series 79TO, Series 50, SIE, Series 7, Series 54, Series 14, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Morris Barnes Blake | Morris Blake Blake

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) - RIA

Click below to view Blake Barnes Morris'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®

None

Experience

Current

April 7, 2008 - Present

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201

RIA

CRD#: 110760

Dallas, TX

Current

June 16, 2016 - Present

HILLTOP SECURITIES INC.

Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201

RIA

CRD#: 6220

Dallas, TX

Current

January 22, 2016 - Present

HILLTOP SECURITIES INC.

Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201

RIA

CRD#: 6220

Dallas, TX

Past

May 10, 2017 - February 22, 2019

FSW ADVISORY SERVICES INC.

RIA

CRD#: 148818

DALLAS, TX

Past

April 7, 2008 - January 22, 2016

FIRST SOUTHWEST COMPANY, LLC

CRD#: 316

DALLAS, TX

Past

June 10, 2003 - April 7, 2008

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

DALLAS, TX

Past

January 24, 2003 - April 7, 2008

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

DALLAS, 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 ASSET MANAGEMENT, LLC

FIRST SOUTHWEST ASSET MANAGEMENT INC | HILLTOP SECURITIES ASSET MANAGEMENT, LLC | FIRST SOUTHWEST ASSET MANAGEMENT, LLC

CRD#: 110760 / SEC#: 801-40189

RIA

Registered Investment Advisory firm - (12/17/1991 Approved)

Maryland

Registered Investment Advisory firm - (3/1/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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
(1/2/2019)

Alaska
(1/2/2019)

Arizona
(1/2/2019)

Arkansas
(1/2/2019)

California
(1/2/2019)

Colorado
(1/2/2019)

Connecticut
(1/2/2019)

Delaware
(1/2/2019)

District of Columbia
(1/2/2019)

Florida
(1/2/2019)

Georgia
(1/2/2019)

Hawaii
(1/2/2019)

Idaho
(1/2/2019)

Illinois
(1/2/2019)

Indiana
(1/2/2019)

Iowa
(1/2/2019)

Kansas
(1/2/2019)

Kentucky
(1/2/2019)

Louisiana
(1/2/2019)

Maine
(1/2/2019)

Maryland
(1/2/2019)

Massachusetts
(1/2/2019)

Michigan
(1/2/2019)

Minnesota
(1/2/2019)

Mississippi
(1/2/2019)

Missouri
(1/2/2019)

Montana
(1/2/2019)

Nebraska
(1/2/2019)

Nevada
(1/2/2019)

New Hampshire
(1/2/2019)

New Jersey
(1/2/2019)

New Mexico
(1/2/2019)

New York
(1/2/2019)

North Carolina
(1/2/2019)

North Dakota
(1/2/2019)

Ohio
(1/3/2019)

Oklahoma
(1/2/2019)

Oregon
(1/2/2019)

Pennsylvania
(1/2/2019)

Puerto Rico
(1/2/2019)

Rhode Island
(1/2/2019)

South Carolina
(1/2/2019)

South Dakota
(1/2/2019)

Tennessee
(1/2/2019)

IAR

Texas
(4/7/2008)

Texas
(1/22/2016)

Utah
(1/2/2019)

Vermont
(1/2/2019)

Virgin Islands
(1/2/2019)

Virginia
(1/2/2019)

Washington
(1/2/2019)

West Virginia
(1/2/2019)

Wisconsin
(1/2/2019)

Wyoming
(1/2/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/9/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 50

Date: 2/4/2019

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/23/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 54

Date: 6/4/2019

Municipal Advisor Principal Qualification Examination

Principal/Supervisory Exam

Series 14

Date: 7/29/2013

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 10/22/2008

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/13/2008

Municipal Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

FIRST SOUTHWEST ASSET MANAGEMENT INC | HILLTOP SECURITIES ASSET MANAGEMENT, LLC | FIRST SOUTHWEST ASSET MANAGEMENT, LLC

CRD#: 110760 / SEC#: 801-40189

RIA

Registered Investment Advisory firm - (12/17/1991 Approved)

Maryland

Registered Investment Advisory firm - (3/1/2019 Terminated)

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Contact information

Main Address

717 N. Harwood Street Suite 3400, Dallas, TX 75201

Mailing Address

Phone number

(214) 953-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

HSAM DISCLOSURE BROCHURE 03/24/2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	54
AUM (Assets Under Management)	$ 31,688,490,690

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

Blake B. Morris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Blake Barnes Morris's CRS (Customer Relationship Summary).

Certified licenses

Experience

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

FSW ADVISORY SERVICES INC.

FIRST SOUTHWEST COMPANY, LLC

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

Primary Firm SEC Registration

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/9/2003

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 50

Date: 2/4/2019

SIE

Date: 10/1/2018

Series 7

Date: 1/23/2003

Series 54

Date: 6/4/2019

Series 14

Date: 7/29/2013

Series 24

Date: 10/22/2008

Series 53

Date: 8/13/2008

FINRA

Nasdaq Stock Market

New York Stock Exchange

Current Firm

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

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