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Thomas Gregory Warner

Hilltop Securities Inc.

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About Thomas Gregory Warner

Thomas Warner is a financial advisor with over 20 years of experience in the industry. Thomas has been registered with Hilltop Securities Inc. and Hilltop Securities Asset Management, LLC since 2016. He is also a registered investment advisor in several states, including Arizona, Florida, New Mexico, Oklahoma, and Texas. Thomas has held the Series 7, Series 63, and Series 65 licenses. He specializes in financial planning, portfolio management for individuals and businesses, and educational seminars. Thomas has a proven track record of success in helping clients reach their financial goals.

Firm Information

Thomas Warner 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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Thomas Warner’s Registration & Firm History

TX

01/04/2021 - Present

Hilltop Securities Inc. (AUSTIN TX)

TX

12/14/1998 - 01/22/2016

FIRST SOUTHWEST COMPANY, LLC (AUSTIN TX)

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Licenses & Designations

IA

Issued 06/11/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/07/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/09/1998

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 Thomas Gregory Warner.
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