Unclaimed Profile

John Andrew Lacey

HILLTOP SECURITIES INC.·DALLAS, Texas

SIE, Series 7, Series 27, Series 63, Series 99TOClean recordHILLTOP SECURITIES INC.

1201 ELM STREET, SUITE 3500, DALLAS, TX 75270CRD# 2397578Firm CRD# 6220

Profile Verification

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

Identity

John Andrew Lacey · DALLAS, TX

Registration

CRD #2397578 · HILLTOP SECURITIES INC.

Brand Profile

Not yet started

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 27

Series 63

Series 99TO

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

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 John Andrew Lacey offer?

John Andrew Lacey specializes in Financial Planning, Investment Management. Contact their office in DALLAS, Texas for a consultation.

What are John Andrew Lacey's credentials?

John Andrew Lacey is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is John Andrew Lacey located?

John Andrew Lacey is based in DALLAS, Texas, working with HILLTOP SECURITIES INC.. Their office serves clients in the DALLAS metropolitan area and surrounding communities.

How does John Andrew Lacey charge for services?

John Andrew Lacey'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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