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Investment Adviser Firm Summary

HILLTOP SECURITIES INC. (CRD# 6220 / SEC# 8-45123, 801-55529)
Alternate Names: HILLTOP SECURITIES INC. , SOUTHWEST SECURITIES, INC. , SWS SECURITIES INC. , SWS SECURITIES, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/10/1998

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 05/01/2001
Alaska 05/03/2001
Arizona 03/19/1997
Arkansas 10/16/1998
California 05/03/2001
Colorado 05/03/2001
Connecticut 05/03/2001
Delaware 08/06/2003
District of Columbia 05/03/2001
Florida 05/06/1996
Georgia 04/27/2001
Hawaii 05/03/2001
Idaho 04/27/2001
Illinois 05/18/2001
Indiana 05/17/2001
Iowa 04/26/2001
Kansas 01/08/1998
Kentucky 05/03/2001
Louisiana 05/03/2001
Maine 01/30/2002
Maryland 05/03/2001
Massachusetts 05/03/2001
Michigan 05/03/2001
Minnesota 03/14/2001
Mississippi 05/03/2001
Missouri 08/11/1997
Montana 05/02/2001
Nebraska 05/03/2001
Nevada 05/03/2001
New Hampshire 05/03/2001
New Jersey 05/03/2001
New Mexico 10/08/1996
New York 05/03/2001
North Carolina 05/09/2001
North Dakota 05/03/2001
Ohio 05/18/2001
Oklahoma 06/10/1998
Oregon 05/03/2001
Pennsylvania 05/03/2001
Puerto Rico 05/03/2001
Rhode Island 05/03/2001
South Carolina 05/03/2001
South Dakota 02/27/2001
Tennessee 10/31/2001
Texas 10/07/1992
Utah 05/07/2001
Vermont 05/09/2001
Virginia 05/03/2001
Washington 02/22/2000
West Virginia 04/27/2001
Wisconsin 05/03/2001

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser