Chief Administrative Officer
Department / Office Location
Executive / Dallas, Texas
Bachelor of Business Administration in Accounting, Texas A&M University
American Institute of CPAs; Texas Society of CPAs; Financial Industry Regulatory Authority (FINRA) National Adjudicatory Council (NAC) - Re-elected to 3 year term in 2014; Chairman of the Statutory Disqualification Committee - a subcommittee of the NAC; FINRA Financial Responsibility Committee (national committee); FINRA Uniform Practice Code Committee (national committee); Securities Industry and Financial Markets Association (SIFMA) Clearing Firms Committee, 2010 chairman, 2009 vice chairman; Dallas YMCA Foundation Board Member
Registrations and Qualification Exams*
Series 7, 24, 27, 63
*To become registered and licensed to offer securities, state and federal law require HilltopSecurities financial professionals to pass qualifying exams administered by FINRA to demonstrate their competencies for the securities activities they perform.