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Wayne Evan Daugherty

Hilltop Securities Inc.

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About Wayne Evan Daugherty

Wayne Evan Daugherty is a financial advisor with Hilltop Securities Inc. located in Austin, TX. Wayne Daugherty has been in the securities industry since May 4, 1992. Wayne Daugherty is registered with FINRA as a General Securities Representative. Wayne Daugherty is also registered as an Investment Advisor Representative in Indiana, North Carolina and Texas. Wayne Daugherty's previous employers include MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and INVESTMENT CENTERS OF AMERICA, INC..

Firm Information

Wayne Daugherty 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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Wayne Daugherty’s Registration & Firm History

TX

10/23/2015 - Present

Hilltop Securities Inc. (AUSTIN TX)

TX

03/18/1997 - 10/26/2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (AUSTIN TX)

WI

01/30/1995 - 03/13/1997

INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)

TX

05/01/1992 - 01/31/1995

SOUTHWEST SECURITIES, INC. (DALLAS TX)

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Licenses & Designations

IA

Issued 06/26/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/01/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/12/2006

Series 31 - Futures Managed Funds Examination

BC

Issued 04/29/1992

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 Wayne Evan Daugherty.
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