• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
DANIEL WESLEY GRANT III
DAN GRANT III, DANIEL WESLEY GRANT
CRD#: 1842903
IA
Investment Adviser
B
Broker
HILLTOP SECURITIES ASSET MANAGEMENT, LLCCRD#: 110760 Wells, ME
HILLTOP SECURITIES INC.CRD#: 6220 Wells, ME
Registration History
19901995200020052010201520202025IAHILLTOP SECURITIES ASSET MANAG... (CRD# 110760)2013 - Present (11 years)BHILLTOP SECURITIES INC. (CRD# 6220)2016 - Present (9 years)BFIRST SOUTHWEST COMPANY, LLC (CRD# 316)2011 - 2016 (4 years)BNATIONAL FINANCIAL SERVICES LLC (CRD# 13041)1994 - 2010 (16 years)BFIDELITY BROKERAGE SERVICES, INC. (CRD# 7784)1992 - 1994 (1 year)BWATERHOUSE SECURITIES, INC. (CRD# 7870)1990 - 1992 (1 year)BCOWEN & CO. (CRD# 1541)1990 - 1990 (<1 year)BHIBBARD BROWN & CO., INC. (CRD# 18246)1989 - 1989 (<1 year)IAHILLTOP SECURITIES INC. (CRD# 6220)2016 - 2018 (2 years)
License(s)

State Registrations

B
Arizona 1/22/2016

IA
Maine 11/17/2021

IA
Arizona 12/18/2018

IA
Texas 6/12/2013

B
Florida 1/22/2016

B
Texas 1/22/2016

IA
Florida 3/29/2019

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

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 ASSET MANAGEMENT, LLC (CRD#:110760)
Wells, ME
Registered with this firm since 6/12/2013

B
HILLTOP SECURITIES INC. (CRD#:6220)
Wells, ME
Registered with this firm since 1/22/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/27/2016 - 12/13/2018 HILLTOP SECURITIES INC. (CRD#:6220) AUSTIN, TX
B
06/01/2011 - 01/22/2016 FIRST SOUTHWEST COMPANY, LLC (CRD#:316) AUSTIN, TX
B
01/15/1994 - 04/24/2010 NATIONAL FINANCIAL SERVICES LLC (CRD#:13041) BOSTON, MA
B
02/26/1992 - 01/18/1994 FIDELITY BROKERAGE SERVICES, INC. (CRD#:7784) SMITHFIELD, RI
B
11/13/1990 - 01/16/1992 WATERHOUSE SECURITIES, INC. (CRD#:7870) OMAHA, NE
B
01/10/1990 - 09/17/1990 COWEN & CO. (CRD#:1541) NEW YORK, NY
B
03/21/1989 - 06/13/1989 HIBBARD BROWN & CO., INC. (CRD#:18246)
FINRA expelled the firm on 02/22/1996
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.