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Lance TOMAS Flores
Lance Tomas Flores, Lance Flores
CRD#: 6059755
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
201620172018201920202021202220232024202520262 FIRMS2016 - 2018 (1 year)2 FIRMS2018 - 2022 (4 years)2 FIRMS2022 - Present (2 years)IAHILLTOP SECURITIES ASSET MANAG... (CRD# 110760)2024 - Present (1 year)
License(s)

State Registrations

B
Alabama 7/6/2022

B
Nebraska 7/6/2022

B
Alaska 7/6/2022

B
Nevada 7/6/2022

B
Arizona 7/6/2022

B
New Hampshire 7/6/2022

IA
Arizona 4/3/2024

B
New Jersey 7/6/2022

B
Arkansas 7/6/2022

IA
New Jersey 3/20/2024

B
California 7/6/2022

B
New Mexico 7/6/2022

IA
California 3/18/2024

IA
New Mexico 3/18/2024

B
Colorado 7/6/2022

B
New York 7/6/2022

IA
Colorado 3/18/2024

IA
New York 3/18/2024

B
Connecticut 7/6/2022

B
North Carolina 7/6/2022

B
Delaware 7/6/2022

IA
North Carolina 3/18/2024

B
District of Columbia 7/6/2022

B
North Dakota 7/6/2022

B
Florida 7/6/2022

B
Ohio 7/6/2022

IA
Florida 3/19/2024

IA
Ohio 3/18/2024

B
Georgia 7/6/2022

B
Oklahoma 7/6/2022

IA
Georgia 3/21/2024

IA
Oklahoma 2/1/2024

B
Hawaii 7/6/2022

B
Oregon 7/6/2022

B
Idaho 7/6/2022

IA
Oregon 3/18/2024

B
Illinois 7/6/2022

B
Pennsylvania 7/6/2022

B
Indiana 7/6/2022

B
Puerto Rico 7/6/2022

B
Iowa 7/6/2022

B
Rhode Island 7/6/2022

B
Kansas 7/6/2022

IA
Rhode Island 3/19/2024

B
Kentucky 7/6/2022

B
South Carolina 7/6/2022

B
Louisiana 7/6/2022

B
South Dakota 7/6/2022

IA
Louisiana 3/20/2024

B
Tennessee 7/6/2022

B
Maine 7/6/2022

B
Texas 7/6/2022

IA
Maine 5/30/2024

IA
Texas 7/6/2022

B
Maryland 7/6/2022

B
Utah 7/6/2022

B
Massachusetts 7/6/2022

B
Vermont 7/6/2022

IA
Massachusetts 7/3/2024

B
Virgin Islands 7/6/2022

B
Michigan 7/6/2022

B
Virginia 7/6/2022

IA
Michigan 3/20/2024

IA
Virginia 3/18/2024

B
Minnesota 7/6/2022

B
Washington 7/6/2022

IA
Minnesota 3/18/2024

IA
Washington 3/18/2024

B
Mississippi 7/6/2022

B
West Virginia 7/6/2022

IA
Mississippi 3/18/2024

B
Wisconsin 7/6/2022

B
Missouri 7/6/2022

B
Wyoming 7/6/2022

B
Montana 7/7/2022

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 ASSET MANAGEMENT, LLC (CRD#:110760)
717 N. HARWOOD STREET SUITE 3400, DALLAS, TX 75201
Registered with this firm since 1/31/2024

IA
HILLTOP SECURITIES INC. (CRD#:6220)
717 N. HARWOOD STREET SUITE 3400, DALLAS, TX 75201
Registered with this firm since 7/6/2022

B
HILLTOP SECURITIES INC. (CRD#:6220)
717 N. HARWOOD STREET SUITE 3400, DALLAS, TX 75201
Registered with this firm since 7/6/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/11/2018 - 07/01/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FORT WORTH, TX
B
05/11/2018 - 07/01/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FORT WORTH, TX
IA
10/11/2016 - 03/28/2018 AXA ADVISORS, LLC (CRD#:6627) DALLAS, TX
B
09/01/2016 - 03/28/2018 AXA ADVISORS, LLC (CRD#:6627) 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.