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Thomas Michael O'Connell

Hilltop Securities Inc.

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About Thomas Michael O'Connell

Thomas O'Connell is a registered investment advisor with Hilltop Securities Inc. Thomas has been working in the financial industry since 2003. Thomas specializes in providing financial advice to individuals, high-net-worth individuals, corporations and other businesses, charitable organizations, pension and profit sharing plans, and insurance companies.

Firm Information

Thomas O'Connell 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 O'Connell’s Registration & Firm History

CA

01/19/2023 - Present

Hilltop Securities Inc. (Sherman Oaks CA)

CA

01/09/2009 - 01/10/2023

WESTERN INTERNATIONAL SECURITIES, INC. (Pasadena CA)

CA

02/26/2002 - 07/22/2002

FIRST REPUBLIC SECURITIES COMPANY, LLC (SAN FRANCISCO CA)

CA

11/19/1997 - 02/13/2002

FROLEY, REVY ASSET TRADERS, INC. (LOS ANGELES CA)

CA

08/02/1996 - 07/22/1997

J.B. OXFORD & COMPANY (SHERMAN OAKS CA)

CA

01/16/1996 - 04/18/1996

BARABAN SECURITIES, INC. (LOS ANGELES CA)

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Licenses & Designations

BOTH

Issued 03/17/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/20/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/08/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Michael O'Connell.
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