Terry L. Maas
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.
Terry Leo Maas was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1976. Terry had worked at 13 firms and has passed the Series 63, SIE, Series 50, Series 52, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2016 - January 2, 2025
HILLTOP SECURITIES INC.
October 12, 2011 - January 22, 2016
FIRST SOUTHWEST COMPANY, LLC
September 30, 2011 - October 3, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 2, 2007 - September 30, 2011
STONE & YOUNGBERG LLC
January 2, 2002 - May 25, 2007
RBC CAPITAL MARKETS, LLC
September 19, 2000 - January 11, 2002
SUTRO & CO. INCORPORATED
October 10, 1994 - October 1, 1996
ALDEN CAPITAL MARKETS, INC.
October 12, 1990 - October 5, 1992
RAUSCHER PIERCE REFSNES, INC.
February 6, 1989 - July 19, 1990
CITICORP SECURITIES, INC.
January 1, 1989 - March 7, 1989
CITIBROKERAGE, INC.
July 12, 1988 - August 17, 1988
BANCAMERICA SECURITIES, INC.
October 1, 1986 - December 17, 1986
BA INVESTMENT SERVICES, INC.
July 27, 1978 - May 27, 1986
RAUSCHER PIERCE REFSNES, INC.
March 2, 1976 - August 18, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
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.
