MF
Michael J. Forster
HILLTOP SECURITIES
Dallas, TX 75201
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CRD#: 4958049
MF
Professional summary
Michael John Forster, who also goes by Michael John Forester Jr, Michael John Forster Jr, Michael John Forster, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Dallas, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael John Forester Jr | Michael John Forster Jr | Michael John Forster
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 Michael John Forster's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael John Forster'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
June 23, 2025 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Current
June 23, 2025 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Past
January 29, 2020 - June 5, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
SAINT PETERSBURG, FL
Past
January 28, 2020 - June 5, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
June 28, 2018 - January 13, 2020
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LA VISTA, NE
Past
May 23, 2018 - January 13, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
June 24, 2015 - June 14, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
June 18, 2014 - June 14, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
November 26, 2007 - September 2, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
November 26, 2007 - September 2, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
June 19, 2006 - November 26, 2007
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
NEW ORLEANS, LA
Past
May 16, 2006 - November 26, 2007
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW ORLEANS, LA
Past
June 7, 2005 - May 5, 2006
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
Texas(6/23/2025)
IAR
Texas(6/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General 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 | 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.
Company Information
HILLTOP SECURITIES INC.
CRD#: 6220Dallas, TX 75201TRUST BUT VERIFY
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