Matt Rupert - Momentum

Matt Rupert is Senior Vice President, Head of 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.

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

Career Highlights

Over two decades of experience in the financial services industry
Held multiple supervisory roles with the firm, including Assistant Vice President of Sales Supervision and Regional Office of Supervisory Jurisdiction (OSJ) Manager
Joined HilltopSecurities’ legacy firm, SWS Financial Services Inc, in 2006, serving as Regional OSJ then Assistant Vice President, Wealth Management Sales Supervision for SWS Financial Services, Inc. and Southwest Securities, Inc. in 2009
Prior to joining HilltopSecurities, worked as an OSJ manager at XCU Capital

Education

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

Current Affiliations

Participant, Private Client Supervisors Roundtable
Member, Financial Services Institute (FSI) Compliance Council

Registration & Qualifications

FINRA Series 3, 4, 7, 10, 24, 53, 63, 66
FINRA Certified Regulatory Compliance Professional (CRCP)

Get to Know Matt

28+

years in the industry

years with HilltopSecurities

kids (ages 20, 17, and 11). I enjoy road cycling, golf, hockey, camping, and most of all quality time with my family.