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JAMES ANTHONY RUBERTO
CRD#: 3084349
IA
Investment Adviser
B
Broker
HILLTOP SECURITIES INC.CRD#: 6220 8201 PRESTON RD.
SUITE 600
DALLAS, TX 75225
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2011 - 2024 (13 years)BRBC CAPITAL MARKETS, LLC (CRD# 31194)2008 - 2011 (3 years)BRBC CAPITAL MARKETS CORPORATION (CRD# 6579)2007 - 2008 (<1 year)BJEFFERIES & COMPANY, INC. (CRD# 2347)2000 - 2007 (7 years)BGABELLI & COMPANY, INC. (CRD# 7353)1998 - 1999 (<1 year)
License(s)

State Registrations

B
California 7/30/2024

B
Indiana 10/24/2024

IA
California 9/5/2024

IA
Indiana 11/21/2024

B
Connecticut 1/2/2025

B
Massachusetts 7/30/2024

IA
Connecticut 1/2/2025

IA
Massachusetts 9/16/2024

B
Florida 7/30/2024

B
Ohio 1/29/2025

IA
Florida 9/6/2024

IA
Ohio 1/29/2025

B
Illinois 10/29/2024

B
Texas 7/26/2024

IA
Illinois 11/21/2024

IA
Texas 8/29/2024

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
HILLTOP SECURITIES INC. (CRD#:6220)
8201 PRESTON RD. SUITE 600, DALLAS, TX 75225
Registered with this firm since 8/29/2024

B
HILLTOP SECURITIES INC. (CRD#:6220)
8201 PRESTON RD. SUITE 600, DALLAS, TX 75225
Registered with this firm since 7/26/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
B
06/01/2011 - 07/29/2024 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) Dallas, TX
B
02/29/2008 - 04/01/2011 RBC CAPITAL MARKETS, LLC (CRD#:31194) DALLAS, TX
B
04/23/2007 - 02/29/2008 RBC CAPITAL MARKETS CORPORATION (CRD#:6579) DALLAS, TX
B
01/14/2000 - 03/26/2007 JEFFERIES & COMPANY, INC. (CRD#:2347) DALLAS, TX
B
10/26/1998 - 08/23/1999 GABELLI & COMPANY, INC. (CRD#:7353) RYE, NY
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B
Broker
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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.