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James Earl Pence

Hilltop Securities Inc.

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About James Earl Pence

James Earl Pence has been in the financial services industry since 1997. James is currently registered with Hilltop Securities Inc. and has been with the firm since June 2009. James also previously worked for Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James is a Series 66, Series 7 and SIE licensed advisor. James has been actively involved in the securities industry for over 25 years.

Firm Information

James Pence 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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James Pence’s Registration & Firm History

OK

09/26/2011 - Present

Hilltop Securities Inc. (NORMAN OK)

OK

03/05/1999 - 06/16/2009

CITIGROUP GLOBAL MARKETS INC. (NORMAN OK)

NY

11/13/1997 - 03/10/1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 12/04/1997

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/12/1997

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 James Earl Pence.
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