BP
Bruce W. Pollock
HILLTOP SECURITIES
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 6418233
BP
Professional summary
Bruce William Pollock, who also goes by Bruce Pollock, is a registered financial professional currently at HILLTOP SECURITIES INC. located in Charlotte, North Carolina.
Bruce is registered as a RR (Registered Representative) and started their career in finance in 2014. Bruce 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"?
No
Aliases
Bruce Pollock
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.
CRS (Client Relationship Summary) - BD
Click below to view Bruce William Pollock'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
October 25, 2021 - Present
HILLTOP SECURITIES INC.
Office #1: 6100 Fairview Suite 550, Charlotte, NC 28210RIA
BD
CRD#: 6220
Charlotte, NC
Past
November 12, 2019 - October 19, 2021
VINING-SPARKS IBG, LLC
BD
CRD#: 27502
CHARLOTTE, NC
Past
May 10, 2019 - November 8, 2019
BOFA SECURITIES, INC.
BD
CRD#: 283942
NEW YORK, NY
Past
February 15, 2019 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHARLOTTE, NC
Past
February 15, 2019 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 28, 2016 - May 3, 2017
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
CHARLOTTE, NC
Past
December 4, 2014 - May 3, 2017
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
CHARLOTTE, NC
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.
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
Alabama(10/25/2021)
RR
Alaska(10/25/2021)
RR
Arizona(10/25/2021)
RR
Arkansas(10/25/2021)
RR
California(10/25/2021)
RR
Colorado(10/25/2021)
RR
Connecticut(10/25/2021)
RR
Delaware(10/25/2021)
RR
District of Columbia(10/25/2021)
RR
Florida(10/25/2021)
RR
Georgia(10/25/2021)
RR
Hawaii(10/25/2021)
RR
Idaho(10/25/2021)
RR
Illinois(10/25/2021)
RR
Indiana(10/25/2021)
RR
Iowa(10/25/2021)
RR
Kansas(10/25/2021)
RR
Kentucky(10/25/2021)
RR
Louisiana(10/25/2021)
RR
Maine(10/25/2021)
RR
Maryland(10/25/2021)
RR
Massachusetts(10/25/2021)
RR
Michigan(10/25/2021)
RR
Minnesota(10/25/2021)
RR
Mississippi(10/25/2021)
RR
Missouri(10/25/2021)
RR
Montana(10/26/2021)
RR
Nebraska(10/25/2021)
RR
Nevada(10/25/2021)
RR
New Hampshire(10/25/2021)
RR
New Jersey(10/25/2021)
RR
New Mexico(10/25/2021)
RR
New York(10/25/2021)
RR
North Carolina(10/25/2021)
RR
North Dakota(10/25/2021)
RR
Ohio(10/25/2021)
RR
Oklahoma(10/25/2021)
RR
Oregon(10/25/2021)
RR
Pennsylvania(10/25/2021)
RR
Puerto Rico(10/25/2021)
RR
Rhode Island(10/25/2021)
RR
South Carolina(10/25/2021)
RR
South Dakota(10/25/2021)
RR
Tennessee(10/25/2021)
RR
Texas(10/25/2021)
RR
Utah(10/25/2021)
RR
Vermont(10/25/2021)
RR
Virgin Islands(10/25/2021)
RR
Virginia(10/25/2021)
RR
Washington(10/25/2021)
RR
West Virginia(10/25/2021)
RR
Wisconsin(10/25/2021)
RR
Wyoming(10/25/2021)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
