Unclaimed Profile

Daniel Roger Leland

HILLTOP SECURITIES INC.·DALLAS, Texas

SIE, Series 4, Series 7, Series 9, Series 10, Series 12, Series 24, Series 27, Series 52, Series 53, Series 63, Series 99TO31 years registeredHILLTOP SECURITIES INC.

1201 ELM STREET, SUITE 3500, DALLAS, TX 75270CRD# 1157737Firm CRD# 6220

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Daniel Roger Leland · DALLAS, TX

Registration

CRD #1157737 · HILLTOP SECURITIES INC. · 31 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

May 1995 – Sep 2017

DALLAS, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 9

Series 10

Series 12

Series 24

Series 27

Series 52

Series 53

Series 63

Series 99TO

Registration record

First registered · May 4, 1995

Years registered · 31

Disclosure History

2005Regulatory·Final

2004Regulatory·Final

2002Customer Dispute·Settled

2001Customer Dispute·Settled

4 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

HILLTOP SECURITIES INC.

CRD 6220 · SEC 801-55529

AUM

$1.9B

Regulatory assets under management

Employees

113

4,546 client accounts

Services offered by HILLTOP SECURITIES INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at HILLTOP SECURITIES INC. →

Introduction

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Frequently Asked Questions

What services does Daniel Roger Leland offer?

Daniel Roger Leland specializes in Financial Planning, Investment Management.

What are Daniel Roger Leland's credentials?

Daniel Roger Leland is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Daniel Roger Leland located?

Daniel Roger Leland is based in DALLAS, Texas, last registered with HILLTOP SECURITIES INC..

How does Daniel Roger Leland charge for services?

Daniel Roger Leland's firm is compensated through percentage of aum, hourly charges, subscription fees, other: 12b-1 fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is HILLTOP SECURITIES INC.?

HILLTOP SECURITIES INC. has approximately 113 employees and manages $1.9B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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