SM
Suzanne E. Meek Pittman
HILLTOP SECURITIES
Austin, TX 78731
Some features on this profile are disabled
CRD#: 5713373
SM
Professional summary
Suzanne Elizabeth Meek Pittman, who also goes by Suzanne Elizabeth Pittman, Suzanne Elizabeth Meek Pittman, Suzanne Meek Pittman, Suzanne E Pittman, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Austin, Texas.
Suzanne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Suzanne has worked at 2 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Suzanne Elizabeth Pittman | Suzanne Elizabeth Meek Pittman | Suzanne Meek Pittman | Suzanne E Pittman
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. As previously reported I was formerly a PASSIVE/LIMITED PARTNER IN A FAMILY PARTNERSHIP : WBRL FULLWOOD I, LTD. It was dissolved and final distributions from the partnership were made in June 2022. 2. I do personally own some property in Reeves County and have an oil/gas lease that generates some passive income that I benefit from. There are only legal descriptions for these tracts, not addresses. AB 1386 BLK C 19 SEC 4/PSL/CARD M H S, AB 1386 BLK C 19 SEC 4/PSL CARD M H, AB 1429 BLK C 19 SEC 5/HOURIGAN A, AB 1429 BLK C 19 SEC 5/HOURIGAN A. The full legal descriptions are available on the Reeves County Appraisal District website as there isn't space here to provide. I inherited the property in 2016 and devote less than 1 hour a year to this and 0 hours during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Suzanne Elizabeth Meek Pittman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Suzanne Elizabeth Meek Pittman'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 28, 2024 - Present
HILLTOP SECURITIES INC.
Office #1: 7000 North Mopac Expressway Suite 400, Austin, TX 78731RIA
BD
CRD#: 6220
Austin, TX
Current
March 15, 2024 - Present
HILLTOP SECURITIES INC.
Office #1: 7000 North Mopac Expressway Suite 400, Austin, TX 78731RIA
BD
CRD#: 6220
Austin, TX
Past
July 27, 2012 - April 15, 2021
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
AUSTIN, TX
Past
July 27, 2012 - April 15, 2021
HILLTOP SECURITIES INC.
BD
CRD#: 6220
AUSTIN, TX
Past
March 29, 2010 - July 30, 2012
NEW ENGLAND SECURITIES
RIA
CRD#: 615
AUSTIN, TX
Past
February 16, 2010 - July 30, 2012
NEW ENGLAND SECURITIES
BD
CRD#: 615
AUSTIN, 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
Texas(8/28/2024)
IAR
Texas(8/28/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/11/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
