Thomas Du is a registered investment advisor at Hilltop Securities INC., based in Dallas, TX, with 3 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments. Their firm serves 2,241 clients with $2.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The Horizon Program fee is a negotiated annual flat fee, not to exceed 1.75%, billed quarterly in advance. This fee covers investment advice and reporting. The fee is debited from a separate account the client has with Hilltop Securities, not directly from the Horizon account. The value of alternative investments is based on information provided by the product sponsors and administrators, which may be delayed and not current. This fee is in addition to the investment management fees and other expenses charged by the Alternative Investment Funds and Structured Products.
Location
717 N. Harwood Street, Suite 3400, Dallas, TX, 75201
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Regulatory History (1)
Employment Separation After Allegations
May 2024Other Business Activities
Thomas drives boats for Dallas Boat Rentals, a boat rental company, as needed. This non-investment related activity takes minimal time.
Employment History
Current Registrations
Momentum Independent Network INC.Broker
Hilltop Securities INC.Broker
Hilltop Securities Asset Management, LLC
Momentum Independent Network INC.
Hilltop Securities INC.
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Advisors
Fidelity Brokerage Services LLCBroker
State Registrations1 state
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.