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Thomas H. Du
HILLTOP SECURITIES ASSET MANAGEMENT
Dallas, TX 75201
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CRD#: 7540845
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Professional summary
Thomas H Du, who also goes by Thomas H Du, Thomas Du, is a registered financial advisor currently at HILLTOP SECURITIES ASSET MANAGEMENT, LLC located in Dallas, Texas and MOMENTUM INDEPENDENT NETWORK INC. located in Dallas, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Thomas has worked at 5 firms and has passed the Series 66, Series 52TO, Series 99TO, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas H Du | Thomas Du
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] Dallas Boat Rentals; Hickory Creek, TX 75065, Driving boats for a boat rental company, Non-Investment Related, Boat Driver, July 6, 2024, 8 hours per month as needed, Zero hours during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas H Du'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
May 22, 2024 - Present
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
CRD#: 110760
Dallas, TX
Current
May 22, 2024 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201Office #2: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 17587
Dallas, TX
Current
May 22, 2024 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201Office #2: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Current
May 22, 2024 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201Office #2: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 17587
Dallas, TX
Current
May 22, 2024 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201Office #2: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Past
May 17, 2023 - June 4, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
Irving, TX
Past
May 17, 2023 - June 4, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 19, 2022 - February 28, 2023
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WESTLAKE, TX
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(5/22/2024)
IAR
Texas(5/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 2/15/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 9/25/2024
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 7/19/2022
General Securities Representative ExaminationGeneral 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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