JS
John E. Simone
HILLTOP SECURITIES ASSET MANAGEMENT
ORLANDO, FL 32801
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CRD#: 6802012
JS
John Edward SimoneHILLTOP SECURITIES ASSET MANAGEMENT
Professional summary
John Edward Simone, who also goes by John E Simone, is a registered financial advisor currently at HILLTOP SECURITIES ASSET MANAGEMENT, LLC located in Orlando, Florida and HILLTOP SECURITIES INC. located in Orlando, Florida.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. John has worked at 3 firms and has passed the Series 66, Series 52TO, Series 7TO and SIE exams.
Aliases
John E Simone
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] ORANGEWOOD CHRISTIAN SCHOOL, NON-INVESTMENT RELATED, 1300 MAITLAND BLVD, MAITLAND FL 32751, PRIVATE COMPANY, COACH, START DATE 07/27/2026, 40 HRS/MO NON-BUSINESS, 0 HRS/MO TRADING HOURS, VARSITY FOOTBALL ASSISTANT COACH
CRS (Client Relationship Summary) - RIA
Click below to view John Edward Simone'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, 2026 - Present
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
Office #1: 450 S Orange Ave Suite 225, Orlando, FL 32801RIA
CRD#: 110760
ORLANDO, FL
Current
August 3, 2026 - Present
HILLTOP SECURITIES INC.
Office #1: 450 S Orange Ave Suite 225, Orlando, FL 32801-3389RIA
BD
CRD#: 6220
ORLANDO, FL
Past
April 23, 2025 - August 13, 2026
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
ORLANDO, FL
Past
April 12, 2025 - August 13, 2026
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
ORLANDO, FL
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
Alabama(8/3/2026)
RR
Alaska(8/3/2026)
RR
Arizona(8/3/2026)
RR
Arkansas(8/3/2026)
RR
California(8/3/2026)
RR
Colorado(8/3/2026)
RR
Connecticut(8/3/2026)
RR
Delaware(8/3/2026)
RR
District of Columbia(8/3/2026)
RR
Florida(8/3/2026)
RR
Georgia(8/3/2026)
RR
Hawaii(8/3/2026)
RR
Idaho(8/3/2026)
RR
Illinois(8/3/2026)
RR
Indiana(8/3/2026)
RR
Iowa(8/3/2026)
RR
Kansas(8/3/2026)
RR
Kentucky(8/3/2026)
RR
Louisiana(8/3/2026)
RR
Maine(8/3/2026)
RR
Maryland(8/3/2026)
RR
Massachusetts(8/3/2026)
RR
Michigan(8/3/2026)
RR
Minnesota(8/3/2026)
RR
Mississippi(8/3/2026)
RR
Missouri(8/3/2026)
RR
Montana(8/3/2026)
RR
Nebraska(8/3/2026)
RR
Nevada(8/3/2026)
RR
New Hampshire(8/3/2026)
RR
New Jersey(8/3/2026)
RR
New Mexico(8/3/2026)
RR
New York(8/3/2026)
RR
North Carolina(8/3/2026)
RR
North Dakota(8/3/2026)
RR
Ohio(8/3/2026)
RR
Oklahoma(8/3/2026)
RR
Oregon(8/3/2026)
RR
Pennsylvania(8/3/2026)
RR
Puerto Rico(8/3/2026)
RR
Rhode Island(8/3/2026)
RR
South Carolina(8/3/2026)
RR
South Dakota(8/3/2026)
RR
Tennessee(8/3/2026)
RR
Texas(8/3/2026)
IAR
Texas(8/3/2026)
RR
Utah(8/3/2026)
RR
Vermont(8/3/2026)
RR
Virgin Islands(8/3/2026)
RR
Virginia(8/3/2026)
RR
Washington(8/3/2026)
RR
West Virginia(8/3/2026)
RR
Wisconsin(8/3/2026)
RR
Wyoming(8/3/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 8/14/2026
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 4/12/2025
General Securities Representative ExaminationGeneral Industry/Product 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)Loading...
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
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.
Company Information
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
CRD#: 110760Orlando, FL 32801TRUST BUT VERIFY
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