Eric Gerard Kloppers

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Contact Information

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Disclosures on record.

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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Years of Experience

17 years registered in the securities industry

Current & Past Employments

Current

HILLTOP SECURITIES INC.Current·CRD# 6220

RIA

BD

2901 Overland Suite 200, Sherman, TX 75092

June 19, 2020 - Present

HILLTOP SECURITIES INC.Current·CRD# 6220

RIA

BD

2901 Overland Suite 200, Sherman, TX 75092

June 19, 2020 - Present

Past

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCPast·CRD# 149018

RIA

Sherman, TX

September 11, 2009 - June 25, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.Past·CRD# 6694

BD

Sherman, TX

March 30, 2009 - June 25, 2020

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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)

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

92

SEC notice filing (51 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

HILLTOP FIRM BROCHURE 03/27/2026 (3/30/2026)

HILLTOP WRAP BROCHURE 08/27/2026 (3/30/2026)

HILLTOP HORIZON PROGRAM BROCHURE 03/27/2026 (3/27/2026)

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
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

5,592

AUM (Assets Under Management)

$2,507,522,526

Disclosures

Regulatory Event

56

Arbitration

22

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/22/2026	Cover Page	Report
08/21/2025	Cover Page	Report
07/26/2024	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Sherman Education Foundation - Advisory Board Member - My role as an advisory board member is to help carryout the core values and advise on the existing programs each year. Started Jan 1, 2020 - 2701 Loy Lake Rd Sherman, TX 75090 - 20 hrs devoted annually during business and non-business hrs - no conflicts of interest.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arkansas
(1/28/2025)

IAR

Arkansas
(1/31/2025)

RR

Colorado
(6/8/2021)

IAR

Colorado
(6/9/2021)

RR

Hawaii
(6/26/2024)

IAR

Hawaii
(12/5/2024)

RR

Indiana
(5/22/2023)

IAR

Indiana
(5/22/2023)

RR

Louisiana
(6/19/2020)

IAR

Louisiana
(6/26/2020)

RR

Montana
(6/1/2023)

RR

New York
(6/19/2020)

IAR

New York
(2/23/2021)

RR

North Carolina
(1/20/2023)

IAR

North Carolina
(1/30/2023)

RR

Oklahoma
(6/19/2020)

IAR

Oklahoma
(6/22/2020)

RR

Texas
(6/19/2020)

IAR

Texas
(6/19/2020)

RR

Wisconsin
(12/22/2022)

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.