Robert W. Davis
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.
Robert Wade Davis was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1965. Robert had worked at 10 firms and has passed the Series 63, SIE, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2004 - February 13, 2015
HILLTOP SECURITIES INC.
August 12, 2004 - February 13, 2015
HILLTOP SECURITIES INC.
February 3, 2000 - August 20, 2004
MORGAN STANLEY DW INC.
February 3, 2000 - August 20, 2004
MORGAN STANLEY DW INC.
November 4, 1994 - February 1, 2000
CITIGROUP GLOBAL MARKETS INC.
March 20, 1990 - November 9, 1994
PRUDENTIAL EQUITY GROUP, LLC
March 2, 1989 - March 28, 1990
KIDDER, PEABODY & CO. INCORPORATED
June 8, 1981 - March 9, 1989
J.P. MORGAN SECURITIES LLC
August 9, 1978 - June 22, 1981
DREXEL BURNHAM LAMBERT INCORPORATED
February 24, 1978 - November 11, 1978
MORGAN STANLEY DW INC.
November 29, 1976 - February 24, 1978
REYNOLDS SECURITIES, INC.
May 12, 1975 - December 22, 1976
PRINCIPAL FINANCIAL SECURITIES,INC.
July 19, 1965 - June 5, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/6/1981
Interest Rate Options ExaminationPC
Date: 5/21/1981
AMEX Put and Call ExamSeries 1
Date: 7/16/1965
Registered Representative ExaminationCurrent Firm
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
Contact information
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.
