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Detailed Report
KEVIN DARIN KOTT
CRD#: 1609595
IA
Investment Adviser
B
Broker
HILLTOP SECURITIES INC.CRD#: 6220 24560 SILVER CLOUD CT.
SUITE 201
MONTEREY, CA 93940-6555
Registration History
199019952000200520102015202020252 FIRMS2008 - Present (16 years)BM.L. STERN & CO., LLC. (CRD# 8327)1987 - 2008 (21 years)IAM. L. STERN & CO, LLC. (CRD# 8327)2004 - 2008 (4 years)
License(s)

State Registrations

B
Alaska 6/27/2012
B
Massachusetts 10/17/2024
B
Arizona 11/10/2008
B
Minnesota 6/6/2023
IA
Arizona 11/19/2019
B
Montana 6/27/2012
B
Arkansas 11/19/2024
IA
Montana 9/12/2014
IA
Arkansas 11/21/2024
B
Nebraska 1/11/2018
B
California 11/10/2008
B
Nevada 6/27/2012
IA
California 11/10/2008
IA
Nevada 10/13/2014
B
Colorado 11/10/2008
B
New York 11/10/2008
IA
Colorado 1/4/2011
IA
New York 2/23/2021
B
Connecticut 12/1/2023
IA
North Carolina 9/12/2014
IA
Connecticut 12/1/2023
B
North Carolina 1/16/2018
B
Delaware 9/13/2022
B
Oregon 7/6/2009
B
Florida 1/13/2021
IA
Oregon 12/22/2009
IA
Florida 6/22/2023
B
Pennsylvania 9/16/2009
B
Georgia 5/30/2019
IA
Pennsylvania 7/30/2012
IA
Georgia 11/25/2019
IA
South Carolina 10/1/2014
B
Hawaii 6/27/2012
B
South Carolina 4/25/2018
IA
Hawaii 9/11/2014
B
South Dakota 2/25/2020
B
Idaho 11/10/2008
B
Tennessee 12/1/2023
IA
Idaho 6/23/2023
B
Texas 1/4/2011
B
Illinois 12/1/2023
IA
Texas 8/29/2017
IA
Illinois 12/8/2023
B
Utah 1/4/2011
B
Indiana 12/7/2023
B
Vermont 1/11/2010
B
Kansas 11/10/2008
IA
Vermont 6/22/2023
B
Kentucky 11/16/2023
B
Virginia 12/22/2008
IA
Kentucky 11/17/2023
B
Washington 11/10/2008
B
Maine 4/29/2013
IA
Washington 2/9/2012
B
Maryland 4/20/2021
B
Wisconsin 11/10/2008

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
HILLTOP SECURITIES INC. (CRD#:6220)
24560 SILVER CLOUD CT. SUITE 201, MONTEREY, CA 93940-6555
Registered with this firm since 11/10/2008
B
HILLTOP SECURITIES INC. (CRD#:6220)
24560 SILVER CLOUD CT. SUITE 201, MONTEREY, CA 93940-6555
Registered with this firm since 11/10/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/27/2004 - 12/22/2008 M. L. STERN & CO, LLC. (CRD#:8327) CARMEL, CA
B
 02/24/1987 - 12/22/2008 M.L. STERN & CO., LLC. (CRD#:8327) CARMEL, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.