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Brian L. Whitworth
HILLTOP SECURITIES
Sherman Oaks, CA 91403
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CRD#: 4804381
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Professional summary
Brian Lee Whitworth is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Sherman Oaks, California.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Brian has worked at 5 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 50 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) LIC DEVELOPMENT LLC. INSURANCE COMPANY. 243 AVENIDA LA CUESTA, SAN CLEMENTE, CA 92672. INVESTOR AND BOARD MEMBER. START DATE OF AFFILIATION 2002. DUTIES: ANNUAL SHAREHOLDERS MEETING. APPROX 1 HOUR A MONTH DEVOTED TO OTHER BUSINESS OUTSIDE OF NORMAL BUSINESS HOURS. 2) CFA SOCIETY OF LOS ANGELES - Non-investment related- Los Angeles, CA - Professional development assistance - Instructor - 10/6/2018 - 40 hours/year total - zero during business hours. 3) Brian Whitworth; non-investment related; Malibu, CA; software development; Owner; Started 11/02/2022; 20 hrs/mo; zero hrs/mo during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Lee Whitworth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Lee Whitworth'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
September 10, 2025 - Present
HILLTOP SECURITIES INC.
Office #1: 15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403RIA
BD
CRD#: 6220
Sherman Oaks, CA
Current
January 22, 2016 - Present
HILLTOP SECURITIES INC.
Office #1: 15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403RIA
BD
CRD#: 6220
Sherman Oaks, CA
Past
May 19, 2025 - September 10, 2025
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
RIA
CRD#: 110760
Sherman Oaks, CA
Past
January 11, 2010 - December 31, 2016
FSW ADVISORY SERVICES INC.
RIA
CRD#: 148818
DALLAS, TX
Past
May 13, 2009 - January 22, 2016
FIRST SOUTHWEST COMPANY, LLC
BD
CRD#: 316
SANTA MONICA, CA
Past
August 16, 2004 - June 19, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
LOS ANGELES, CA
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
Arizona(1/22/2016)
IAR
Arizona(9/18/2025)
RR
California(1/22/2016)
IAR
California(9/10/2025)
RR
Florida(1/22/2016)
RR
Rhode Island(1/6/2022)
RR
Texas(1/22/2016)
IAR
Texas(9/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General 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.
