Chief Compliance Officer of HilltopSecurities
Mike Cogliano is Chief Compliance Officer of HilltopSecurities over Retail, AML, Clearing and Licensing and Registration. He is a Certified Regulatory and Compliance Professional (CRCP), responsible for ensuring the firm meets FINRA and SEC regulatory standards, and serves on the Securities Industry and Financial Markets Association’s Legal and Compliance Committee.
Mr. Cogliano is a 23-year veteran of the financial services industry. He joined Hilltop Securities in July of 2000, serving in various roles until being named Chief Compliance Officer in 2010. Prior to his time with HTS, he served as an operations supervisor with HD Vest Investments and a registered representative with PFS Investments
Preceding his career in the financial services industry, Mr. Cogliano worked as a private investigator in Boston, Massachusetts.
Department / Office Location
Compliance/ Dallas, TX
Bachelor’s degree at Southern New Hampshire University
Registrations and Qualifying Exams*
Series 4, 6, 7, 14, 24, 53, 63, and 65
*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.