HILLTOP SECURITIES ASSET MANAGEMENT, LLC

717 N. Harwood Street
Suite 3400
Dallas, Texas 75201
Tel: 214-953-4000

About HILLTOP SECURITIES ASSET MANAGEMENT, LLC

HILLTOP SECURITIES ASSET MANAGEMENT, LLC, formally registered with the SEC as HILLTOP SECURITIES ASSET MANAGEMENT, LLC. The firm was established in 12/17/1991. They have over 4 offices throughout the country.

HILLTOP SECURITIES ASSET MANAGEMENT, LLC is a Dallas, Texas based Financial Planning firm with nearly $27,229,315,502 assets under management, offering retirement planning & investment advisory services to 51 clients. The firm is staffed with 29 experienced financial planners.

Firm Information

SEC Current Status	Approved
Firm CRD#	110760
SEC#	801-40189
Assets Managed by Firm	$27,229,315,502
No. of Clients	51
No. of Advisors	29

Fee Structure

A percentage of AUM
Hourly charges
Fixed fees
Other (FIXED TRANSACTION FEE BASED ON A CONTRACTUAL FEE SCHEDULE)

Advisory Services Provided

Portfolio management for businesses or institutional clients
Education seminars/workshops
Other (INVESTMENT POLICY REVIEW; PORTFOLIO REVIEW; BIDDING AGENT SRVCS AND ARBITRAGE, REBATE)

Firm Client Information

	No. of Clients	AUM
Firm Total	51	$27,229,315,502

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