WS
William C. Stokes
HILLTOP SECURITIES
Boerne, TX
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CRD#: 4856866
WS
Professional summary
William Carr Stokes is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Boerne, Texas.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. William has worked at 5 firms and has passed the Series 65, Series 66, Series 6TO, Series 79TO, SIE 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view William Carr Stokes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Carr Stokes'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
December 1, 2021 - Present
HILLTOP SECURITIES INC.
RIA
BD
CRD#: 6220
Boerne, TX
Current
December 1, 2021 - Present
HILLTOP SECURITIES INC.
RIA
BD
CRD#: 6220
Boerne, TX
Past
April 8, 2020 - December 2, 2021
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
BOERNE, TX
Past
September 6, 2019 - December 2, 2021
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOERNE, TX
Past
August 12, 2009 - September 17, 2019
ADVISORS ASSET MANAGEMENT, INC.
RIA
CRD#: 46727
BOERNE, TX
Past
November 16, 2005 - September 17, 2019
ADVISORS ASSET MANAGEMENT, INC.
BD
CRD#: 46727
BOERNE, TX
Past
December 9, 2004 - November 11, 2005
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
KERRVILLE, TX
Past
November 15, 2004 - November 11, 2005
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
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(7/2/2023)
RR
Alaska(7/2/2023)
RR
Arizona(12/1/2021)
IAR
Arizona(1/24/2022)
RR
Arkansas(7/2/2023)
RR
California(12/1/2021)
IAR
California(12/1/2021)
RR
Colorado(7/2/2023)
RR
Connecticut(7/2/2023)
RR
Delaware(12/1/2021)
IAR
Delaware(12/21/2021)
RR
District of Columbia(7/2/2023)
RR
Florida(7/2/2023)
RR
Georgia(12/1/2021)
IAR
Georgia(2/4/2022)
RR
Hawaii(7/2/2023)
RR
Idaho(7/2/2023)
RR
Illinois(12/1/2021)
IAR
Illinois(12/6/2021)
RR
Indiana(12/1/2021)
IAR
Indiana(12/1/2021)
RR
Iowa(7/2/2023)
RR
Kansas(12/1/2021)
IAR
Kansas(1/3/2022)
RR
Kentucky(7/2/2023)
RR
Louisiana(7/2/2023)
RR
Maine(7/2/2023)
RR
Maryland(7/2/2023)
RR
Massachusetts(7/2/2023)
RR
Michigan(12/1/2021)
IAR
Michigan(12/6/2021)
RR
Minnesota(7/2/2023)
RR
Mississippi(7/2/2023)
RR
Missouri(12/1/2021)
IAR
Missouri(12/1/2021)
RR
Montana(7/3/2023)
RR
Nebraska(7/2/2023)
RR
Nevada(7/2/2023)
RR
New Hampshire(7/2/2023)
RR
New Jersey(7/2/2023)
RR
New Mexico(7/2/2023)
RR
New York(12/1/2021)
IAR
New York(12/16/2021)
RR
North Carolina(7/2/2023)
RR
North Dakota(7/2/2023)
RR
Ohio(12/1/2021)
IAR
Ohio(12/6/2021)
RR
Oklahoma(7/2/2023)
RR
Oregon(7/2/2023)
RR
Pennsylvania(12/1/2021)
IAR
Pennsylvania(12/2/2021)
RR
Puerto Rico(7/2/2023)
RR
Rhode Island(7/2/2023)
RR
South Carolina(12/1/2021)
IAR
South Carolina(12/21/2021)
RR
South Dakota(7/2/2023)
RR
Tennessee(7/2/2023)
RR
Texas(12/1/2021)
IAR
Texas(12/1/2021)
RR
Utah(7/2/2023)
RR
Vermont(7/2/2023)
RR
Virgin Islands(7/2/2023)
RR
Virginia(7/2/2023)
RR
Washington(7/2/2023)
RR
West Virginia(7/2/2023)
RR
Wisconsin(7/2/2023)
RR
Wyoming(7/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered 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 | BOARD DIRECTOR | 4326551 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| LEVENTHAL, LAURA | TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER | 1175259 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 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.
