Report|14 Apr 2026

Hilltop Securities Inc. Surveillance Report

Company Profile

  • Hilltop Securities Inc. (“HTS” or “the firm”) is a full-service broker-dealer firm headquartered in Dallas, Texas with core business in public banking, capital markets, structured finance, and clearing, among others.
  • The firm is the 2nd largest municipal finance advisor in the U.S. by number of new issues and one of the largest clearing services firms by client count.
  • HTS is a wholly owned operating subsidiary of Hilltop Securities Holdings Inc. and its ultimate parent, Hilltop Holdings Inc. (NYSE: HTH) (“the company”) (KBRA Senior Unsecured Debt Rating: A- / Stable Outlook).
  • HTS is the culmination of Hilltops’ acquisition of SWS Group (Southwest Securities) in 2016 and subsequent merger with its legacy securities firm.
  • The firm is an SEC registered broker-dealer and RIA, a NYSE member broker-dealer, and a member of FINRA. HTS is also registered with…
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