Richard Stone Feild
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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nick Feild
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
51 years in the financial services industry
Current & Past Employments
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Current Firm
HILLTOP SECURITIES INC. | SWS SECURITIES, INC. | SWS SECURITIES INC. | SOUTHWEST SECURITIES, INC.
Contact Information
Main Address
717 N. Harwood Street Suite 3400, Dallas, TX 75201Mailing Address
717 Harwood Street Suite 3400, Dallas, TX 75201Phone Number
(214) 953-4000Established
Delaware since 12/31/1991Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
92SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
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 |
| 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
5,592AUM (Assets Under Management)
$2,507,522,526Disclosures
Regulatory Event
56Arbitration
22Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/22/2026 | Cover Page | Report |
| 08/21/2025 | Cover Page | Report |
| 07/26/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
HILLTOP SECURITIES INC. | SWS SECURITIES, INC. | SWS SECURITIES INC. | SOUTHWEST SECURITIES, INC.
State Registrations and Notice Filings
(5/20/2014)
(5/28/2014)
(7/19/2012)
(7/10/2012)
(7/10/2012)
(7/10/2012)
(5/20/2014)
(7/10/2012)
(5/30/2014)
(7/10/2012)
(7/10/2012)
(5/27/2014)
(7/11/2012)
(1/14/2014)
(5/30/2014)
(5/28/2014)
(5/27/2014)
(5/28/2014)
(4/18/2013)
(6/2/2014)
(7/12/2012)
(7/17/2012)
(7/10/2012)
(5/19/2014)
(3/6/2013)
(7/11/2012)
(7/11/2012)
(5/16/2014)
(8/10/2012)
(5/28/2014)
(7/10/2012)
(8/6/2012)
(6/12/2014)
(1/15/2014)
(5/9/2014)
(7/10/2012)
(8/15/2012)
(5/19/2014)
(7/11/2012)
(5/30/2014)
(5/28/2014)
(9/12/2012)
(5/28/2014)
(7/10/2012)
(7/10/2012)
(6/27/2013)
(5/28/2014)
(5/30/2014)
(8/29/2012)
(7/10/2012)
(7/10/2012)
(6/11/2014)
(5/19/2014)
(7/13/2012)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Mar 1983Series 5 — Interest Rate Options Examination
Passed Dec 1981Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 12 — NYSE Branch Manager Examination
Passed Feb 1979SRO Registrations
SRO Registrations
SRO Registrations
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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).
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