Patrick J. Toutant
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.
Patrick Joseph Toutant, who also goes by Pat Toutant, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1979. Patrick had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2020 - September 25, 2020
HILLTOP SECURITIES INC.
May 4, 2020 - September 25, 2020
HILLTOP SECURITIES INC.
May 29, 2018 - May 31, 2019
PIPER SANDLER & CO.
May 21, 2018 - May 31, 2019
PIPER SANDLER & CO.
October 17, 2017 - May 18, 2018
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
October 12, 2017 - May 18, 2018
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
October 16, 2009 - April 4, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 16, 2009 - April 4, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 12, 2006 - October 16, 2009
UBS FINANCIAL SERVICES INC.
August 12, 2006 - October 16, 2009
UBS FINANCIAL SERVICES INC.
July 22, 2005 - August 12, 2006
PIPER SANDLER & CO.
July 22, 2005 - August 12, 2006
PIPER SANDLER & CO.
September 18, 1995 - July 28, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 18, 1995 - July 28, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 16, 1995 - September 19, 1995
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 1, 1979 - March 8, 1995
PIPER SANDLER & CO.
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
Series 8
Date: 10/21/1987
General Securities Sales Supervisor Examination (Options Module & General Module)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.
