Barbara Frenkel

Hilltop Securities INC.

44 Years of Experience

2 DisclosuresBroker

View SEC Summary

Areas of Practice

Alternative Investments

Hilltop Securities INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

174 advisors

Number of Clients

2,241 clients

Average Client Portfolio

$1.0M average

Assets Under Management

$2.3B

Fee Structure

Minimum Investment:$500K

Financial Planning:Investment management only

Location

15301 Ventura Blvd, Building B, Suite 410, Sherman Oaks, CA, 91403

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History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

April 2009

Settled

Regulatory

August 1981

Final

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Hilltop Securities INC.

December 2008 - Present · 17 yrs 2 mos

Hilltop Securities INC.Broker

December 2008 - Present · 17 yrs 2 mos

Previous Registrations

M. L. Stern & CO, LLC.

January 2004 - December 2008 · 4 yrs 11 mos

M.L. Stern & CO., LLC.Broker

April 1981 - December 2008 · 27 yrs 8 mos

State Registrations18 states

AZCACTFLIDILMAMIMONCNHNMNVNYORTXVAWA

AdvisorBrokerBoth

Exams

No exam information available for this advisor.