Vice President, Wealth Management Sales Supervision

Matt Rupert is Vice President of Sales Supervision for HilltopSecurities’ Private Client Group and Momentum Independent Network. Mr. Rupert works to establish policies and procedures alongside the compliance department to allow for supervision of the firm’s activities. He also oversees the implementation and maintenance of the firm’s approved supervisory technology platforms.

Mr. Rupert has over two decades of experience in the financial services industry and has held multiple supervisory roles with the firm, including Assistant Vice President of Sales Supervision and Regional Office of Supervisory Jurisdiction (OSJ) Manager.

Prior to joining HilltopSecurities, Mr. Rupert worked as an OSJ manager at XCU Capital.

He is a member of the Securities Industry and Financial Markets Association (SIFMA) and is a participant of the Private Client Supervisors Roundtable.

Department / Office Location
Wealth Management, Sales Supervision / Dallas, TX

Education
Bachelor of Science, Health Policy and Administration, Pennsylvania State University

Registrations and Qualifying Exams*
FINRA Series 3, 4, 7, 10, 24, 53, 63, 66

*To become registered and licensed to offer securities, state and federal law require HilltopSecurities financial professionals to pass qualifying exams administered by FINRA to demonstrate their competencies for the securities activities they perform.


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