Dominic M. Alto

HILLTOP SECURITIES ASSET MANAGEMENT

Dallas, TX 75201

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CRD#: 4859296

Professional summary

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

Dominic is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Dominic has worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dominic Alto

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 Dominic Mark Alto'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

May 14, 2026 - Present

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

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

RIA

CRD#: 110760

Dallas, TX

Current

May 13, 2026 - Present

HILLTOP SECURITIES INC.

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

RIA

CRD#: 6220

Dallas, TX

Past

January 5, 2018 - July 14, 2025

THORNBURG INVESTMENT MANAGEMENT INC

RIA

CRD#: 106357

SANTA FE, NM

Past

January 4, 2018 - July 14, 2025

THORNBURG SECURITIES LLC

CRD#: 14857

SANTA FE, NM

Past

May 19, 2016 - November 15, 2016

KBS CAPITAL MARKETS GROUP LLC

CRD#: 132299

NEWPORT BEACH, CA

Past

June 10, 2015 - June 2, 2016

BPV CAPITAL MANAGEMENT, LLC

RIA

CRD#: 151588

KNOXVILLE, TN

Past

March 17, 2015 - February 2, 2016

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

June 30, 2014 - March 16, 2015

FS INVESTMENT SOLUTIONS, LLC

CRD#: 145244

PHILADELPHIA, PA

Past

September 1, 2011 - June 20, 2014

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

October 7, 2008 - September 1, 2011

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

CHICAGO, IL

Past

October 7, 2008 - June 20, 2014

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

February 26, 2007 - September 29, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

February 23, 2007 - September 29, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHICAGO, IL

Past

January 25, 2005 - August 30, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

JACKSONVILLE, FL

Past

November 10, 2004 - August 30, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

Arizona
(5/13/2026)

Florida
(5/14/2026)

Texas
(5/13/2026)

IAR

Texas
(5/14/2026)

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

Exams

State Security Law Exam

IAR

Series 66

Date: 1/19/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/2004

General Securities Representative 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

Dominic M. Alto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominic Mark Alto's CRS (Customer Relationship Summary).

Certified licenses

Experience

HILLTOP SECURITIES INC.

THORNBURG INVESTMENT MANAGEMENT INC

THORNBURG SECURITIES LLC

KBS CAPITAL MARKETS GROUP LLC

BPV CAPITAL MANAGEMENT, LLC

FORESIDE FUND SERVICES, LLC

FS INVESTMENT SOLUTIONS, LLC

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/19/2005

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2004

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

TRUST BUT VERIFY

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