VC
Victoria L. Capella
HILLTOP SECURITIES
Dallas, TX 75201
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CRD#: 6217228
VC
Professional summary
Victoria Leigh Capella, who also goes by Tori Dick, VIctoria Leigh Dick, Victoria Leigh, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Dallas, Texas and HILLTOP SECURITIES ASSET MANAGEMENT, LLC located in Dallas, Texas.
Victoria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Victoria has worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tori Dick | Victoria Leigh Dick | Victoria Leigh
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) VICTORIA CAPELLA SWIM INSTRUCTOR, NOT INV RELATED, ARLINGTON, TX, 100% OWNERSHIP, START 5/26/2018, WATER SPORTS FITNESS AND SAFETY COACHING/TEACHING, NO HOURS DURING TRADING HOURS. ON FILE IN CASE PRIVATE LESSON OPPORTUNITY ARISES. APPROXIMATELY 20-40 HOURS/MONTH SEASONALLY. 2) VICTORIA CAPELLA INDEPENDENT CONTRACTOR- AMAZON AFFILIATE MARKETER, NON INV RELATED, ARLINGTON, TX, 100% OWNERSHIP, START 06/01/2023. APPROX. 2 HOURS WKLY. 3) VICTORIA CAPELLA NOTARY PUBLIC, NON INV RELATED, ARLINGTON, TX, 100% OWNERSHIP, START 7/17/2023, ON FILE IF OPPORTUNITY ARISES. 4) VICTORIA CAPELLA RESUME WRITER, NON INV RELATED, ARLINGTON, TX, 100% OWNERSHIP, START 8/28/2023, 8 HRS/MO; ZERO DURING BUSINESS HOURS; Writing Resumes for individuals looking for work or school. 5) Doordash; non-investment related; Arlington, TX; independent contractor order delivery and driver; started 12/2023; 48 hrs/mo; zero during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Victoria Leigh Capella'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 3, 2022 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Current
May 15, 2023 - Present
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
CRD#: 110760
Dallas, TX
Current
July 26, 2022 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Current
August 3, 2022 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 17587
Dallas, TX
Past
May 9, 2016 - September 8, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SOUTHLAKE, TX
Past
April 27, 2015 - September 8, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SOUTHLAKE, TX
Past
September 26, 2013 - April 8, 2015
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
BOSTON, MA
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.
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(7/26/2022)
IAR
Texas(8/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 9/25/2024
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
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)Upgrade to AdvisorCheck Premium
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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
31
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 54 |
| AUM (Assets Under Management) | $ 31,688,490,690 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
CRD#: 110760Dallas, TX 75201TRUST BUT VERIFY
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