RF
Richard S. Feild
HILLTOP SECURITIES
SAN ANTONIO, TX 78216
Some features on this profile are disabled
CRD#: 815098
RF
Professional summary
Richard Stone Feild, who also goes by Nick Feild, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in San Antonio, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Richard has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 15, Series 5, Series 7, Series 9, Series 10, Series 24, Series 4 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Feild
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] Texas Heart; Non-Investment Related, St. Louis, MO, Film Production Company, Co-Writer, Co-Producer, Co-Executive Producer, Started 11/2015, 0 HRS/MO, 0 HRS/MO Business Hours, 2] WAKE; NON-INVESTMENT RELATED, SAN ANTONIO, TX , FILM PRODUCTION COMPANY, EXECUTIVE PRODUCER, STARTED 08/10/2022, 6 HRS/MO, 3 HRS/MO DURING BUSINESS HOURS, EXECUTIVE PRODUCER OF INDEPENDENT FILM. 3] Buffalo Speedway Films, Northridge, CA, Non-Investment Related, Film Production Company, Executive Producer Investor, started 6/24/2024, Possible 1 Hrs/Mo, 0 Hrs/Mo during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Stone Feild's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Stone Feild'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
June 27, 2013 - Present
HILLTOP SECURITIES INC.
Office #1: 70 Northeast Loop 410 Suite 750, San Antonio, TX 78216Office #2: 7000 North Mopac Expressway Suite 400, Austin, TX 78731RIA
BD
CRD#: 6220
SAN ANTONIO, TX
Current
July 10, 2012 - Present
HILLTOP SECURITIES INC.
Office #1: 70 Northeast Loop 410 Suite 750, San Antonio, TX 78216Office #2: 7000 North Mopac Expressway Suite 400, Austin, TX 78731RIA
BD
CRD#: 6220
SAN ANTONIO, TX
Past
June 2, 2009 - August 9, 2012
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
NEW YORK, NY
Past
December 12, 2000 - May 11, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HOUSTON, TX
Past
April 12, 1996 - December 13, 2000
UBS ASSET MANAGEMENT (US) INC.
BD
CRD#: 583
NEW YORK, NY
Past
November 19, 1990 - February 16, 1996
UBS ASSET MANAGEMENT (US) INC.
BD
CRD#: 583
NEW YORK, NY
Past
October 19, 1988 - August 14, 1990
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 23, 1986 - October 24, 1988
ROTAN MOSLE INC.
BD
CRD#: 727
Past
September 16, 1977 - April 9, 1986
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
BD
CRD#: 7238
Past
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
BD
CRD#: 7058
Past
November 20, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
BD
CRD#: 66
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.
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(5/20/2014)
RR
Alaska(5/28/2014)
RR
Arizona(7/19/2012)
RR
Arkansas(7/10/2012)
RR
California(7/10/2012)
RR
Colorado(7/10/2012)
RR
Connecticut(5/20/2014)
RR
Delaware(7/10/2012)
RR
District of Columbia(5/30/2014)
RR
Florida(7/10/2012)
RR
Georgia(7/10/2012)
RR
Hawaii(5/27/2014)
RR
Idaho(7/11/2012)
RR
Illinois(1/14/2014)
RR
Indiana(5/30/2014)
RR
Iowa(5/28/2014)
RR
Kansas(5/27/2014)
RR
Kentucky(5/28/2014)
RR
Louisiana(4/18/2013)
RR
Maine(6/2/2014)
RR
Maryland(7/12/2012)
RR
Massachusetts(7/17/2012)
RR
Michigan(7/10/2012)
RR
Minnesota(5/19/2014)
RR
Mississippi(3/6/2013)
RR
Missouri(7/11/2012)
RR
Montana(7/11/2012)
RR
Nebraska(5/16/2014)
RR
Nevada(8/10/2012)
RR
New Hampshire(5/28/2014)
RR
New Jersey(7/10/2012)
RR
New Mexico(8/6/2012)
RR
New York(6/12/2014)
RR
North Carolina(1/15/2014)
RR
North Dakota(5/9/2014)
RR
Ohio(7/10/2012)
RR
Oklahoma(8/15/2012)
RR
Oregon(5/19/2014)
RR
Pennsylvania(7/11/2012)
RR
Puerto Rico(5/30/2014)
RR
Rhode Island(5/28/2014)
RR
South Carolina(9/12/2012)
RR
South Dakota(5/28/2014)
RR
Tennessee(7/10/2012)
RR
Texas(7/10/2012)
IAR
Texas(6/27/2013)
RR
Utah(5/28/2014)
RR
Vermont(5/30/2014)
RR
Virgin Islands(8/29/2012)
RR
Virginia(7/10/2012)
RR
Washington(7/10/2012)
RR
West Virginia(6/11/2014)
RR
Wisconsin(5/19/2014)
RR
Wyoming(7/13/2012)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 2/1/1979
NYSE Branch Manager ExaminationSRO 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.
