CUSTOMER AGREEMENT AND INFORMATION BROCHURECustomer Agreement and Information Brochure • April 5th, 2023
Hilltop Securities Inc., (HTS), a Member Firm of the New York Stock Exchange (NYSE), the Financial Industry Regulatory Authority (FINRA), and the Securities Investor Protection Corporation (SIPC), is a full- service brokerage firm providing customers with execution services on all major exchanges and access to all major markets.
CUSTOMER AGREEMENT AND INFORMATION BROCHURECustomer Agreement and Information Brochure • October 3rd, 2016 • New York
Hilltop Securities Inc. (HTS), a Member Firm of the New York Stock Exchange (NYSE), the Financial Industry Regulatory Authority (FINRA), and the Securities Investor Protection Corporation (SIPC) may perform, as agent, certain execution and clearing functions for your independent brokerage firm. These services are performed under a contract, known as a Fully Disclosed Clearing Agreement (the Clearing Agreement), between HTS and your independent brokerage firm. In the Clearing Agreement, “Broker” or “your Broker” refers to the Broker with whom you deal or to the introducing brokerage firm employing him/her. In addition, “You,” “you”, “your”, and “Customer” refer to each person who signs the account application, including self- directed customers where applicable. HTS’ role is limited to performing execution, clearing and custodial functions for your Broker. HTS makes no investment recommendations to You, your Broker, or the customers of your brokerage firm assumes no responsibility for a
