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Detailed Report
WILLIAM JAMES PINKERTON
BILL PINKERTON
CRD#: 865643
IA
Investment Adviser
B
Broker
HILLTOP SECURITIES INC.CRD#: 6220 24560 SILVER CLOUD CT.
SUITE 201
MONTEREY, CA 93940-6555
Registration History
19801985199019952000200520102015202020252 FIRMS2008 - Present (16 years)BM.L. STERN & CO., LLC. (CRD# 8327)1980 - 2008 (28 years)BCALIFORNIA MUNICIPAL INVESTORS... (CRD# 7311)1979 - 1980 (1 year)IAM. L. STERN & CO, LLC. (CRD# 8327)2004 - 2008 (4 years)
License(s)

State Registrations

B
Alaska 12/22/2022
IA
Nevada 8/27/2013
IA
Alaska 1/3/2023
B
New Jersey 8/12/2020
B
Arizona 12/9/2008
IA
New Jersey 12/11/2020
IA
Arizona 2/19/2010
B
New York 12/18/2018
B
California 12/9/2008
B
Oregon 1/14/2010
IA
California 12/9/2008
IA
Oregon 7/3/2023
B
Colorado 4/14/2021
B
Pennsylvania 8/24/2017
IA
Colorado 4/14/2021
IA
Pennsylvania 2/3/2022
B
Florida 12/9/2008
B
Tennessee 11/14/2024
IA
Florida 11/14/2011
B
Texas 12/9/2008
B
Georgia 12/9/2008
IA
Texas 9/9/2013
IA
Georgia 2/5/2010
B
Utah 11/4/2009
B
Idaho 10/9/2020
IA
Utah 12/9/2009
B
Montana 10/21/2022
B
Washington 12/9/2008
IA
Montana 10/21/2022
IA
Washington 6/21/2023
B
Nevada 1/14/2010

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 INC. (CRD#:6220)
24560 SILVER CLOUD CT. SUITE 201, MONTEREY, CA 93940-6555
Registered with this firm since 12/9/2008
B
HILLTOP SECURITIES INC. (CRD#:6220)
24560 SILVER CLOUD CT. SUITE 201, MONTEREY, CA 93940-6555
Registered with this firm since 12/9/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/27/2004 - 12/31/2008 M. L. STERN & CO, LLC. (CRD#:8327) CARMEL, CA
B
 09/03/1980 - 12/31/2008 M.L. STERN & CO., LLC. (CRD#:8327) CARMEL, CA
B
 05/01/1979 - 10/03/1980 CALIFORNIA MUNICIPAL INVESTORS, INC. (CRD#:7311)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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
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.