AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RK

Richard A. Konkel

Some features on this profile are disabled
CRD#: 5180206
RK

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Arthur Konkel was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2006. Richard had worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, Series 34, Series 3, SIE, Series 50, Series 7, Series 4, Series 24, Series 54 and Series 53 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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 6, 2020 - May 5, 2023

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

RIA
CRD#: 110760
DALLAS, TX
Past

January 1, 2020 - November 28, 2022

HILLTOP SECURITIES INC.

RIA
CRD#: 6220
Dallas, TX
Past

January 22, 2016 - November 28, 2022

HILLTOP SECURITIES INC.

BD
CRD#: 6220
Dallas, TX
Past

November 6, 2007 - January 22, 2016

FIRST SOUTHWEST COMPANY, LLC

BD
CRD#: 316
Dallas, TX
Past

October 4, 2006 - November 2, 2007

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
WINTER PARK, FL

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".
HS
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)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/30/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/11/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 34
Date: 1/28/2022
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 9/5/2020
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 2/8/2016
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7
Date: 10/3/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/30/2021
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/18/2019
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 54
Date: 6/20/2019
Municipal Advisor Principal Qualification Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/16/2019
Municipal Securities Principal Examination

Current Firm

HS
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
31

SEC notice filing (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

HSAM DISCLOSURE BROCHURE 03/24/2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts54
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.

Company Information

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

CRD#: 110760

TRUST BUT VERIFY

Monitor Richard Konkel

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.