James
Pence
Hilltop Securities Inc
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About this Advisor
James Pence is a financial advisor based in Dallas, Texas with 14 years of relevant experience. Pence is currently employed by Hilltop Securities Inc. They have been employed by Hilltop Securities Inc for all of their career. Pence maintains a Series 66 license, certifying them as both a securities agent and an investment advisor representative, and is able to work in Florida, New Jersey, New Mexico, New York, Oklahoma, South Carolina and Texas. Hilltop Securities Inc is a financial advisory firm based out of Dallas, TX. The firm has offices in 16 locations and a total of 113 people on staff. It manages $2 billion in assets under management among its 4,476 client accounts, placing it among the largest investment advisory firms in the United States by assets under management. The firm provides services to seven charitable organizations. Of its 4,476 client accounts, 17% are associated with high-net-worth clients who have greater than $1 million in investable assets. Hilltop Securities Inc has a broad range of services, such as financial planning services, portfolio management for individuals and small businesses, selection of other advisers, publication of newsletters and educational seminars. Financial advisory fee schedules usually are based on which services are offered. However, fees charged by Hilltop Securities Inc can include asset-based, hourly, fixed and other fees.
Certifications and Registrations
Years Registered*
Services Offered
Fee Structure
Office Location
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Hilltop Securities Inc Brokerage Details
![](https://d31s10tn3clc14.cloudfront.net/imgs/falc/assets@2x.png)
$1,730,433,320
![](https://d31s10tn3clc14.cloudfront.net/imgs/falc/employees@2x.png)
113
![](https://d31s10tn3clc14.cloudfront.net/imgs/falc/accounts@2x.png)
4,476
![](https://d31s10tn3clc14.cloudfront.net/imgs/falc/account-size@2x.png)
$386,603
Investment Advisory Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers
- Publication of periodicals or newsletters
- Educational seminars/workshops
James Pence Work History
James has been registered as a financial advisor for 14 years.*
Hilltop Securities Inc
*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.
Disclosures
Please visit the SEC profile of James Pence to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.
Financial Advisors at Hilltop Securities Inc
Austin, TX
Austin, TX
Dallas, TX
Dallas, TX
Sherman Oaks, CA
Austin, TX
Monterey, CA
Dallas, TX
The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.
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