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WILLIAM CARR STOKES
CRD#: 4856866
IA
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HILLTOP SECURITIES INC.CRD#: 6220 Boerne, TX
0
Disclosures
20
Years of Experience
View By:
State Registrations
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Alabama 7/2/2023
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Missouri 12/1/2021
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Alaska 7/2/2023
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Montana 7/3/2023
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Arizona 12/1/2021
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Nebraska 7/2/2023
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Arizona 1/24/2022
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Nevada 7/2/2023
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Arkansas 7/2/2023
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New Hampshire 7/2/2023
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California 12/1/2021
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New Jersey 7/2/2023
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California 12/1/2021
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New Mexico 7/2/2023
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Colorado 7/2/2023
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New York 12/1/2021
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Connecticut 7/2/2023
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New York 12/16/2021
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Delaware 12/1/2021
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North Carolina 7/2/2023
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Delaware 12/21/2021
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North Dakota 7/2/2023
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District of Columbia 7/2/2023
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Ohio 12/1/2021
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Florida 7/2/2023
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Ohio 12/6/2021
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Georgia 12/1/2021
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Oklahoma 7/2/2023
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Georgia 2/4/2022
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Oregon 7/2/2023
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Hawaii 7/2/2023
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Pennsylvania 12/1/2021
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Idaho 7/2/2023
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Pennsylvania 12/2/2021
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Illinois 12/1/2021
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Puerto Rico 7/2/2023
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Illinois 12/6/2021
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Rhode Island 7/2/2023
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Indiana 12/1/2021
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South Carolina 12/1/2021
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Indiana 12/1/2021
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South Carolina 12/21/2021
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Iowa 7/2/2023
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South Dakota 7/2/2023
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Kansas 12/1/2021
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Tennessee 7/2/2023
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Kansas 1/3/2022
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Texas 12/1/2021
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Kentucky 7/2/2023
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Texas 12/1/2021
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Louisiana 7/2/2023
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Utah 7/2/2023
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Maine 7/2/2023
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Vermont 7/2/2023
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Maryland 7/2/2023
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Virgin Islands 7/2/2023
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Massachusetts 7/2/2023
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Virginia 7/2/2023
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Michigan 12/1/2021
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Washington 7/2/2023
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Michigan 12/6/2021
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West Virginia 7/2/2023
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Minnesota 7/2/2023
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Wisconsin 7/2/2023
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Mississippi 7/2/2023
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Wyoming 7/2/2023
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Missouri 12/1/2021
SRO Registrations
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/08/2020 - 12/02/2021 | BOERNE, TX | |
B | 09/06/2019 - 12/02/2021 | BOERNE, TX | |
IA | 08/12/2009 - 09/17/2019 | BOERNE, TX | |
B | 11/16/2005 - 09/17/2019 | BOERNE, TX | |
IA | 12/09/2004 - 11/11/2005 | KERRVILLE, TX | |
B | 11/15/2004 - 11/11/2005 | ST. LOUIS, MO |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.