Brett M. Weaver

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CRD#: 5214243

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.

Brett Michael Weaver was a registered financial professional .

Brett is a previously registered financial professional and started their career in finance in 2007. Brett had worked at 4 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, Series 52TO, Series 50, SIE, Series 55, Series 7, Series 54, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

August 16, 2021 - May 24, 2024

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

RIA

CRD#: 110760

DALLAS, TX

Past

August 14, 2021 - May 24, 2024

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

DALLAS, TX

Past

May 3, 2016 - May 24, 2024

HILLTOP SECURITIES INC.

CRD#: 6220

DALLAS, TX

Past

January 22, 2016 - February 16, 2016

HILLTOP SECURITIES INC.

CRD#: 6220

Dallas, TX

Past

July 17, 2007 - January 22, 2016

FIRST SOUTHWEST COMPANY, LLC

CRD#: 316

DALLAS, TX

Past

January 1, 2007 - June 29, 2007

SHS SECURITIES, INC.

CRD#: 129165

NEW YORK, NY

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 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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/13/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/30/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 50

Date: 1/4/2019

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/19/2008

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/22/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 54

Date: 6/6/2019

Municipal Advisor Principal Qualification Examination

Principal/Supervisory Exam

Series 53

Date: 6/20/2016

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/1/2010

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/13/2009

General Securities Principal Examination

Current Firm

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)

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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

SEC notice filing (25 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

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

Regulatory assets under management

Total Number of Accounts	54
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.

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Advisor Monitoring

Firm Stability Insights

Brett M. Weaver

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

FIRST SOUTHWEST COMPANY, LLC

SHS SECURITIES, INC.

Primary Firm SEC Registration

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/13/2021

Series 63

Date: 12/30/2006

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 50

Date: 1/4/2019

SIE

Date: 10/1/2018

Series 55

Date: 8/19/2008

Series 7

Date: 12/22/2006

Series 54

Date: 6/6/2019

Series 53

Date: 6/20/2016

Series 4

Date: 3/1/2010

Series 24

Date: 8/13/2009

Current Firm

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

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