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MARY ANN DUNDA
CRD#: 4548670
IA
Investment Adviser
B
Broker
HILLTOP SECURITIES ASSET MANAGEMENT, LLCCRD#: 110760 717 N. HARWOOD STREET
SUITE 3400
DALLAS, TX 75201
HILLTOP SECURITIES INC.CRD#: 6220 717 N. Harwood Street
Suite 3400
DALLAS, TX 75201
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2023 - Present (2 years)BHILLTOP SECURITIES INC. (CRD# 6220)2016 - Present (9 years)BFIRST SOUTHWEST COMPANY, LLC (CRD# 316)2004 - 2016 (11 years)
License(s)

State Registrations

B
Arizona 3/18/2024

IA
New Jersey 3/18/2024

IA
Arizona 4/3/2024

IA
New Mexico 1/5/2023

IA
California 1/4/2023

B
New Mexico 3/18/2024

B
California 3/18/2024

B
New York 3/18/2024

B
Colorado 3/18/2024

IA
New York 3/18/2024

IA
Colorado 3/18/2024

IA
North Carolina 1/4/2023

B
Florida 5/23/2019

B
North Carolina 3/18/2024

IA
Florida 3/19/2024

B
Ohio 3/18/2024

B
Georgia 3/18/2024

IA
Ohio 3/18/2024

IA
Georgia 3/21/2024

IA
Oklahoma 1/4/2023

B
Louisiana 3/18/2024

B
Oklahoma 3/18/2024

IA
Louisiana 3/20/2024

B
Oregon 3/18/2024

IA
Maine 1/4/2023

IA
Oregon 3/18/2024

B
Massachusetts 3/18/2024

B
Rhode Island 3/18/2024

IA
Massachusetts 12/16/2024

IA
Rhode Island 3/18/2024

B
Michigan 3/18/2024

B
Tennessee 3/18/2024

IA
Michigan 3/18/2024

B
Texas 1/22/2016

B
Minnesota 1/2/2020

IA
Texas 1/1/2023

IA
Minnesota 1/4/2023

B
Virginia 3/18/2024

B
Mississippi 3/18/2024

IA
Virginia 3/18/2024

IA
Mississippi 3/18/2024

B
Washington 3/18/2024

B
New Jersey 3/18/2024

IA
Washington 3/18/2024

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 ASSET MANAGEMENT, LLC (CRD#:110760)
717 N. HARWOOD STREET SUITE 3400, DALLAS, TX 75201
Registered with this firm since 1/4/2023

IA
HILLTOP SECURITIES INC. (CRD#:6220)
717 N. Harwood Street Suite 3400, DALLAS, TX 75201
Registered with this firm since 1/1/2023

B
HILLTOP SECURITIES INC. (CRD#:6220)
717 N. Harwood Street Suite 3400, DALLAS, TX 75201
Registered with this firm since 1/22/2016

Previous Registration(s)
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B
06/03/2004 - 01/22/2016 FIRST SOUTHWEST COMPANY, LLC (CRD#:316) DALLAS, TX
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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.