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Nicholas West Dockery

Hilltop Securities Inc.

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About Nicholas West Dockery

Nicholas Dockery is a financial advisor who is currently registered with Hilltop Securities Inc.. Nicholas has a history of working in the financial services industry, having previously held positions with Charles Schwab & Co., Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Nicholas holds the Series 7TO, SIE, and Series 79 licenses.

Firm Information

Nicholas Dockery 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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Nicholas Dockery’s Registration & Firm History

TX

03/10/2023 - Present

Hilltop Securities Inc. (DALLAS TX)

TX

04/23/2022 - 01/30/2023

CHARLES SCHWAB & CO., INC. (Westlake TX)

NC

08/29/2011 - 02/06/2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 08/30/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/22/2022

Series 7TO - General Securities Representative Examination

BC

Issued 04/07/2021

SIE - Securities Industry Essentials Examination

BC

Issued 08/27/2011

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Nicholas West Dockery.
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