CUSTOMER AGREEMENT AND INFORMATION BROCHURECustomer Information Brochure • February 13th, 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) may perform, as agent, certain execution and clearing functions for your independent brokerage firm. These services are perfo rmed under a contract, known as a Fully Disclosed Clearing Agreement (the Clearing Agreement), between HTS and your independent brokerage firm. In the Clearing Agreement, “ Financial Professional” or “your Financial Professional” refers to the financial professional 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 Financial Professional. HTS makes no investment recommendations to You, your Financial Pro
CUSTOMER AGREEMENT AND INFORMATION BROCHURECustomer Information Brochure • April 4th, 2007 • 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, “Financial Professional” or “your Financial Professional” refers to the financial professional 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 Financial Professional. HTS makes no investment recommendations to You, your Financial Profe
CUSTOMER AGREEMENT AND INFORMATION BROCHURECustomer Information Brochure • May 18th, 2012 • 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, “Financial Professional” or “your Financial Professional” refers to the financial professional 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 Financial Professional. HTS makes no investment recommendations to You, your Financial Profe
