KE
Katherine E. Ehlers
HILLTOP SECURITIES
Sherman Oaks, CA 91403
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CRD#: 4933352
KE
Professional summary
Katherine Erin Ehlers, who also goes by Katherine Ehlers, Katherine Erin Norlander, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Sherman Oaks, California.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Katherine has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katherine Ehlers | Katherine Erin Norlander
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) KATYERIN PHOTOGRAPHY; NON-INVESTMENT RELATED; NEWPORT BEACH, CA 92663; BEGINNING 1/1/2013; OWNER/PHOTOGRAPHER; APPROX. 4 HRS PER/MO DEVOTED TO THIS ACTIVITY; NO TIME DURING MARKET TRADING HOURS; PHOTOGRAPHER FOR HIRE FOR WEDDINGS, AND OTHER EVENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Erin Ehlers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Katherine Erin Ehlers'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
March 21, 2022 - Present
HILLTOP SECURITIES INC.
Office #1: 15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403RIA
BD
CRD#: 6220
Sherman Oaks, CA
Current
March 21, 2022 - Present
HILLTOP SECURITIES INC.
Office #1: 15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403RIA
BD
CRD#: 6220
Sherman Oaks, CA
Past
November 25, 2013 - March 22, 2022
D.A. DAVIDSON & CO.
RIA
CRD#: 199
LOS ANGELES, CA
Past
November 25, 2013 - March 22, 2022
D.A. DAVIDSON & CO.
BD
CRD#: 199
LOS ANGELES, CA
Past
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
RIA
CRD#: 168622
BIG BEAR LAKE, CA
Past
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
BD
CRD#: 168622
BIG BEAR LAKE, CA
Past
July 1, 2011 - November 4, 2013
CROWELL, WEEDON & CO.
RIA
CRD#: 193
BIG BEAR LAKE, CA
Past
July 1, 2011 - November 4, 2013
CROWELL, WEEDON & CO.
BD
CRD#: 193
BIG BEAR LAKE, CA
Past
January 16, 2007 - June 30, 2011
STONE & YOUNGBERG LLC
RIA
CRD#: 795
BIG BEAR LAKE, CA
Past
December 8, 2006 - June 30, 2011
STONE & YOUNGBERG LLC
BD
CRD#: 795
BIG BEAR LAKE, CA
Past
August 3, 2005 - December 6, 2006
THE SEIDLER COMPANIES INCORPORATED
BD
CRD#: 3911
IRVINE, 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
Alabama(3/21/2022)
RR
Alaska(3/21/2022)
RR
Arizona(3/21/2022)
IAR
Arizona(5/3/2022)
RR
Arkansas(3/21/2022)
IAR
Arkansas(7/18/2023)
RR
California(3/21/2022)
IAR
California(3/22/2022)
RR
Colorado(3/21/2022)
IAR
Colorado(4/18/2022)
RR
Connecticut(3/21/2022)
RR
Delaware(3/21/2022)
RR
District of Columbia(3/21/2022)
RR
Florida(3/21/2022)
RR
Georgia(3/21/2022)
RR
Hawaii(3/21/2022)
RR
Idaho(3/21/2022)
RR
Illinois(3/21/2022)
RR
Indiana(3/21/2022)
RR
Iowa(3/21/2022)
RR
Kansas(3/21/2022)
RR
Kentucky(3/21/2022)
RR
Louisiana(3/21/2022)
RR
Maine(3/21/2022)
RR
Maryland(3/21/2022)
RR
Massachusetts(3/21/2022)
RR
Michigan(3/21/2022)
RR
Minnesota(3/21/2022)
RR
Mississippi(3/21/2022)
RR
Missouri(3/21/2022)
RR
Montana(3/22/2022)
RR
Nebraska(3/21/2022)
RR
Nevada(3/21/2022)
IAR
Nevada(6/27/2023)
RR
New Hampshire(3/21/2022)
RR
New Jersey(3/21/2022)
RR
New Mexico(3/21/2022)
RR
New York(3/21/2022)
IAR
New York(4/19/2022)
RR
North Carolina(3/21/2022)
RR
North Dakota(3/21/2022)
RR
Ohio(3/21/2022)
IAR
Ohio(8/14/2023)
RR
Oklahoma(3/21/2022)
RR
Oregon(3/21/2022)
IAR
Oregon(7/20/2024)
RR
Pennsylvania(3/21/2022)
RR
Puerto Rico(3/21/2022)
RR
Rhode Island(3/21/2022)
RR
South Carolina(3/21/2022)
IAR
South Carolina(3/18/2025)
RR
South Dakota(3/21/2022)
RR
Texas(3/21/2022)
IAR
Texas(3/21/2022)
RR
Utah(3/21/2022)
IAR
Utah(6/22/2023)
RR
Vermont(3/21/2022)
RR
Virgin Islands(3/21/2022)
RR
Virginia(3/21/2022)
RR
Washington(3/21/2022)
IAR
Washington(3/13/2025)
RR
West Virginia(3/21/2022)
RR
Wisconsin(3/21/2022)
RR
Wyoming(3/21/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 2/20/2024
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
