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Gary Scott Waller

Hilltop Securities Inc.

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About Gary Scott Waller

Gary Waller is a financial professional with over 20 years of experience in the industry. Gary is a registered representative and investment advisor representative with Hilltop Securities Inc. Gary specializes in providing financial planning and portfolio management for individuals and businesses, as well as educational seminars. Prior to joining Hilltop Securities Inc., Gary was employed with M.L. Stern & Co., LLC. Gary is a Certified Financial Planner.

Firm Information

Gary Waller is currently registered with Hilltop Securities Inc.. Hilltop Securities Inc. is a corporation formed in 1991 and headquartered in Dallas, Texas. They are a registered investment advisor with over $1 billion in assets under management, serving a diverse client base including individuals, corporations, and charitable organizations. The firm provides a range of services including financial planning, portfolio management, educational seminars, and publication of periodicals. Their website and LinkedIn profile provide further information about their services and team.
Hilltop Securities Inc.

717 N. HARWOOD STREET

DALLAS, TX 75201

$1.87B

Assets Under Management

9

Total Clients

402

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

12b-1 fees

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Gary Waller’s Registration & Firm History

CA

02/27/2023 - Present

Hilltop Securities Inc. (Roseville CA)

CA

01/14/2003 - 12/22/2008

M.L. STERN & CO., LLC. (SAN FRANCISCO CA)

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Licenses & Designations

IA

Issued 05/24/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/11/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/06/2013

Series 53 - Municipal Securities Principal Examination

BC

Issued 08/18/2003

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/20/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Gary Scott Waller.
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