Jan Bryan
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.
Jan Bryan, who also goes by Jan F Bryan, Jan Fred Bryan, Jb Bryan, was a registered financial professional .
Jan is a previously registered financial professional and started their career in finance in 1981. Jan had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2009 - May 3, 2021
HILLTOP SECURITIES INC.
November 23, 2009 - May 3, 2021
HILLTOP SECURITIES INC.
January 1, 2008 - November 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - November 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
March 20, 2003 - January 1, 2008
A. G. EDWARDS & SONS, INC.
February 4, 2003 - January 3, 2008
A. G. EDWARDS & SONS, INC.
July 8, 1997 - January 27, 2003
CHARLES SCHWAB & CO., INC.
April 17, 1996 - January 27, 2003
CHARLES SCHWAB & CO., INC.
February 6, 1990 - May 4, 1990
WASATCH STOCK TRADING, INC.
July 27, 1987 - January 20, 1988
BRASWELL LENZIE & COMPANY
June 6, 1986 - July 21, 1987
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
March 4, 1986 - May 21, 1986
RADFORD CAPITAL CORPORATION
July 30, 1985 - February 22, 1986
WARREN & BROWN ASSOCIATES, INC.
May 9, 1985 - August 16, 1985
BAGLEY SECURITIES, INC.
March 19, 1985 - June 18, 1985
COMMONWEALTH SECURITIES OF UTAH
March 3, 1982 - March 11, 1985
MATTHEW R. WHITE INVESTMENT COMPANY INCORPORATED
June 23, 1981 - January 15, 1982
MAIN STREET SECURITIES, 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 8
Date: 6/7/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
