TP
Therakul Pulpanyawong
HILLTOP SECURITIES
Fort Worth, TX 76102
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CRD#: 5707666
TP
Professional summary
Therakul Pulpanyawong is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Fort Worth, Texas.
Therakul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Therakul has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1] Children's Lighthouse; non-investment related; Fort Worth, TX, Children's early learning school, Partner and investor, Started 8/16/2022, 10 hrs/week, 2 hrs/week during business hours; providing business and administrative support to the school. 2] Pulpan Realty LLC; non-investment related, Fort Worth, Tx, real estate company, Sole managing member, Started 5/27/2024, 2 hrs/week, 0 hrs/week during business hours, a real estate company that builds and sells real estate properties.
CRS (Client Relationship Summary) - RIA
Click below to view Therakul Pulpanyawong's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Therakul Pulpanyawong'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
August 5, 2022 - Present
HILLTOP SECURITIES INC.
Office #1: 777 Main St. Ste 1525, Fort Worth, TX 76102RIA
BD
CRD#: 6220
Fort Worth, TX
Current
August 5, 2022 - Present
HILLTOP SECURITIES INC.
Office #1: 777 Main St. Ste 1525, Fort Worth, TX 76102RIA
BD
CRD#: 6220
Fort Worth, TX
Past
August 18, 2021 - August 8, 2022
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
Fort Worth, TX
Past
August 16, 2021 - August 8, 2022
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
Fort Worth, TX
Past
July 27, 2016 - August 17, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
Fort Worth, TX
Past
November 17, 2014 - August 16, 2021
BBVA SECURITIES INC.
BD
CRD#: 27060
FORT WORTH, TX
Past
September 17, 2009 - July 15, 2014
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
FORT WORTH, TX
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
California(8/5/2022)
IAR
California(6/21/2023)
RR
Hawaii(3/26/2024)
IAR
Hawaii(3/28/2024)
RR
Louisiana(9/22/2022)
RR
Maryland(1/8/2025)
IAR
Maryland(1/8/2025)
RR
New Mexico(4/28/2025)
RR
Texas(8/5/2022)
IAR
Texas(8/5/2022)
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 | 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.
