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James Jones

Hilltop Securities INC.
50 Years of Experience
Dallas, TX
1 DisclosureBroker
View SEC Summary
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James Jones is a registered investment advisor at Hilltop Securities INC., based in Dallas, TX, with 50 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 3,407 clients with $2.5B in assets under management.

Hilltop Securities INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
185 advisors
Number of Clients
3,407 clients
Average Client Portfolio
$736K average
Assets Under Management
$2.5B

Fee Structure

Minimum Investment:$30K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K3.00%
$250K - $500K2.50%
$500K - $1000K2.25%
$1.0M - $4.0M2.00%
$4M+1.85%

Rates reflect maximum wrap fee schedules across primary advisory programs (such as Compass UMA and Gateway FSP). Fees are negotiable and vary by program.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

8201 Preston Road, Suite 600, Dallas, TX, 75225

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History

Regulatory History (1)
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Regulatory
June 1978
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James manages Elan Associates, LLC, a holding company for intellectual property research software used in trading, dedicating minimal time. He also manages Halco Real Estate, LLC, which owns rental properties, and James H Jones Capital Management LLC, an investment-related commodity advisor, spending minimal time on each.

Employment History
Current Registrations
Hilltop Securities INC.
August 2000 - Present · 26 yrs 2 mos
Hilltop Securities INC.Broker
August 2000 - Present · 26 yrs 2 mos
Previous Registrations
Prudential Securities IncorporatedBroker
January 1995 - September 2000 · 5 yrs 8 mos
Smith Barney INC.Broker
July 1993 - December 1994 · 1 yr 5 mos
Lehman Brothers INC.Broker
May 1988 - July 1993 · 5 yrs 2 mos
E. F. Hutton & Company INCBroker
June 1985 - May 1988 · 2 yrs 11 mos
Contisecurities, INC.Broker
September 1984 - January 1985 · 4 mos
Westport Financial Group, INC.Broker
April 1984 - June 1987 · 3 yrs 2 mos
Clayton Brokerage CO. of St. Louis, INC.Broker
April 1983 - May 1984 · 1 yr 1 mo
Clayton Brokerage CO. of St. Louis, INC.Broker
May 1974 - November 1981 · 7 yrs 6 mos
State Registrations6 states
CAINMNNVTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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