RL
Robert A. Lakosil
Some features on this profile are disabled
CRD#: 846043
RL
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.
Robert Alan Lakosil, who also goes by Robert A Lakosil, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 13 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Robert A Lakosil
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) FINRA - NOT INVESTMENT RELATED - WASHINGTON DC - ARBITRATOR - STARTED AT 1996 - 2 DAYS ANNUALLY DURING BUSINESS HRS - 0 HRS DRNG NON-BSNSS HRS - NO CONFLICTS OF INTEREST. 2) Expert Witness - Expert witness of Financial Services Industry - 1 hr per year during business hrs - 4 per year during non-business hrs - Started April 2016 - San Diego, CA - No conflicts of interest
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
January 29, 2021 - November 29, 2022
MOMENTUM INDEPENDENT NETWORK INC.
RIA
CRD#: 17587
Solana Beach, CA
Past
January 29, 2021 - November 29, 2022
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
Solana Beach, CA
Past
October 29, 2012 - January 26, 2021
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
SAN DIEGO, CA
Past
October 29, 2012 - January 26, 2021
HILLTOP SECURITIES INC.
BD
CRD#: 6220
SAN DIEGO, CA
Past
June 1, 2009 - November 7, 2012
MORGAN STANLEY
RIA
CRD#: 149777
SAN DIEGO, CA
Past
June 1, 2009 - November 7, 2012
MORGAN STANLEY
BD
CRD#: 149777
SAN DIEGO, CA
Past
August 1, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LA JOLLA, CA
Past
August 1, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LA JOLLA, CA
Past
August 12, 2006 - August 14, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
OXNARD, CA
Past
August 12, 2006 - August 14, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
OXNARD, CA
Past
April 20, 2005 - August 12, 2006
PIPER SANDLER & CO.
RIA
CRD#: 665
LAJOLLA, CA
Past
April 20, 2005 - August 12, 2006
PIPER SANDLER & CO.
BD
CRD#: 665
LAJOLLA, CA
Past
March 4, 2003 - April 22, 2005
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
SACRAMENTO, CA
Past
March 4, 2003 - April 22, 2005
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
May 15, 2001 - March 14, 2003
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
ROSEVILLE, CA
Past
May 2, 2001 - March 14, 2003
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
July 10, 1997 - May 2, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
July 8, 1993 - July 14, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
May 14, 1988 - July 29, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
November 3, 1978 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
December 5, 1977 - October 5, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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".
MI
MOMENTUM INDEPENDENT NETWORK INC.
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
CRD#: 17587 / SEC#: 801-60812, 8-35475
RIA
Registered Investment Advisory firm - SEC (1/18/2002 Approved)Alabama
Registered Investment Advisory firm - SEC (11/1/2004 Terminated)California
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (12/31/2002 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/18/2002 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (4/23/2002 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New York
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/5/2001 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)South Dakota
Registered Investment Advisory firm - SEC (4/19/2002 Terminated)Utah
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)West Virginia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 11/21/1981
NYSE Branch Manager ExaminationCurrent Firm
MI
MOMENTUM INDEPENDENT NETWORK INC.
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
CRD#: 17587 / SEC#: 801-60812, 8-35475
RIA
Registered Investment Advisory firm - SEC (1/18/2002 Approved)Alabama
Registered Investment Advisory firm - SEC (11/1/2004 Terminated)California
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (12/31/2002 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/18/2002 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (4/23/2002 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New York
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/5/2001 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)South Dakota
Registered Investment Advisory firm - SEC (4/19/2002 Terminated)Utah
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)West Virginia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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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) 859-1800
Established
Texas since 01/07/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
98
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILLTOP SECURITIES HOLDINGS, LLC | PARENT | |
| ALEXANDER, LAURA BONNELL | BOARD DIRECTOR | 2900382 |
| COYA, SCOTT ANDREW | CHIEF COMPLIANCE OFFICER | 2511281 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| LEVENTHAL, LAURA | TREASURER | 1175259 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| MCCAFFREY, SCOTT EDWARD | MANAGING DIRECTOR - HEAD OF MOMENTUM INDEPENDENT NETWORK INC. | 3076398 |
| MEDANICH, DAVID KING | BOARD DIRECTOR | 1030727 |
| MUSCHALEK, JOHN RICHARD | BOARD DIRECTOR | 2226859 |
| MUSCHALEK, JOHN RICHARD | PRESIDENT | 2226859 |
| TEMPLE, WILLIAM BARRY | MUNICIPAL PRINCIPAL | 2357830 |
| WINGES, MARTIN BRADLEY | CEO | 1929509 |
| WINGES, MARTIN BRADLEY | CHAIRMAN OF THE BOARD | 1929509 |
| WITTNEBEN, BRIAN LANE | GENERAL COUNSEL/SECRETARY | 4861905 |
Regulatory assets under management
| Total Number of Accounts | 2,850 |
| AUM (Assets Under Management) | $ 1,337,377,801 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
