CR
Carl E. Richardson
HILLTOP SECURITIES
Sherman Oaks, CA 91403
Some features on this profile are disabled
CRD#: 502307
CR
Professional summary
Carl Edward Richardson is a registered financial professional currently at HILLTOP SECURITIES INC. located in Sherman Oaks, California.
Carl is registered as a RR (Registered Representative) and started their career in finance in 1977. Carl has worked at 10 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view Carl Edward Richardson'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 1, 2020 - Present
HILLTOP SECURITIES INC.
Office #1: 15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403RIA
BD
CRD#: 6220
Sherman Oaks, CA
Past
August 5, 2003 - January 22, 2020
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LOS ANGELES, CA
Past
October 9, 2002 - August 28, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
March 20, 1999 - September 25, 2002
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
December 17, 1984 - February 16, 1999
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 2, 1984 - November 5, 1984
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
May 20, 1982 - September 28, 1984
BECKER PARIBAS INCORPORATED
BD
CRD#: 7635
Past
April 3, 1981 - April 12, 1982
MARSHALL AND MEYER BROKERAGE SERVICES, INC.
BD
CRD#: 7254
Past
March 28, 1979 - May 30, 1980
TRIPP & CO., INC.
BD
CRD#: 6967
Past
June 1, 1978 - November 18, 1981
DRYSDALE SECURITIES CORPORATION
BD
CRD#: 1685
Past
December 5, 1977 - May 10, 1978
UMIC, INC.
BD
CRD#: 5974
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.
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(5/10/2021)
RR
Alaska(5/10/2021)
RR
Arizona(9/1/2020)
RR
Arkansas(5/10/2021)
RR
California(9/1/2020)
RR
Colorado(9/1/2020)
RR
Connecticut(11/16/2020)
RR
Delaware(5/10/2021)
RR
District of Columbia(5/10/2021)
RR
Florida(5/10/2021)
RR
Georgia(5/10/2021)
RR
Hawaii(9/1/2020)
RR
Idaho(5/10/2021)
RR
Illinois(5/10/2021)
RR
Indiana(5/10/2021)
RR
Iowa(5/10/2021)
RR
Kansas(5/10/2021)
RR
Kentucky(5/10/2021)
RR
Louisiana(5/10/2021)
RR
Maine(5/10/2021)
RR
Maryland(10/29/2020)
RR
Massachusetts(5/10/2021)
RR
Michigan(5/10/2021)
RR
Minnesota(5/10/2021)
RR
Mississippi(5/10/2021)
RR
Missouri(5/10/2021)
RR
Montana(9/1/2020)
RR
Nebraska(5/10/2021)
RR
Nevada(5/10/2021)
RR
New Hampshire(5/10/2021)
RR
New Jersey(9/22/2020)
RR
New Mexico(5/10/2021)
RR
New York(12/10/2020)
RR
North Carolina(3/26/2021)
RR
North Dakota(5/10/2021)
RR
Ohio(5/11/2021)
RR
Oklahoma(5/10/2021)
RR
Oregon(9/1/2020)
RR
Pennsylvania(10/9/2020)
RR
Puerto Rico(6/28/2023)
RR
Rhode Island(5/10/2021)
RR
South Carolina(5/10/2021)
RR
South Dakota(5/10/2021)
RR
Tennessee(5/10/2021)
RR
Texas(9/1/2020)
RR
Utah(10/5/2020)
RR
Vermont(5/10/2021)
RR
Virgin Islands(6/28/2023)
RR
Virginia(5/10/2021)
RR
Washington(9/1/2020)
RR
West Virginia(5/10/2021)
RR
Wisconsin(5/10/2021)
RR
Wyoming(5/10/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 1/9/1978
Registered Representative ExaminationSRO 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.
