Common Contracts
15 similar Fully Disclosed Clearing Agreement contracts
CUSTOMER AGREEMENT AND INFORMATION BROCHUREFully Disclosed Clearing Agreement • April 5th, 2023 • New York
Hilltop Securities Inc. (HTS), a Member Firm of the New York Stock Exchange (NYSE), the Financial Industry Regulatory Authori ty (FINRA), and the Securities Investor Protection Corporation (SIPC) may perform, as agent, certain execution and clearing functions for your independent brokerage firm Momentum Independent Network Inc. (MIN), a member of FINRA and SIPC. These services are performed under a contract, known as a Fully Disclosed Clearing Agreement (the Clearing Agreement), between HTS and MIN. In the Clearing Agreement, “Financial Professional” or “your Financial Professional” refers to the financial professional with whom you deal or to MIN. In addition, “you”, “your”, and “Customer” refer to each person who signs the account application. HTS’s role is limited to performing execution, clearing and custodial functions for your Financial Professional and MIN. HTS makes no investment recommendations to the customers of your brokerage firm or MIN and assumes no responsibility for an
CUSTOMER AGREEMENT AND INFORMATION BROCHUREFully Disclosed Clearing Agreement • April 5th, 2023 • New York
Hilltop Securities Inc. (HTS), a Member Firm of the New York Stock Exchange (NYSE), the Financial Industry Regulatory Authori ty (FINRA), and the Securities Investor Protection Corporation (SIPC) may perform, as agent, certain execution and clearing functions for your independent brokerage firm Momentum Independent Network Inc. (MIN), a member of FINRA and SIPC. These services are performed under a contract, known as a Fully Disclosed Clearing Agreement (the Clearing Agreement), between HTS and MIN. In the Clearing Agreement, “Financial Professional” or “your Financial Professional” refers to the financial professional with whom you deal or to MIN. In addition, “you”, “your”, and “Customer” refer to each person who signs the account application. HTS’s role is limited to performing execution, clearing and custodial functions for your Financial Professional and MIN. HTS makes no investment recommendations to the customers of your brokerage firm or MIN and assumes no responsibility for an
CUSTOMER AGREEMENT AND INFORMATION BROCHUREFully Disclosed Clearing Agreement • February 13th, 2023 • 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 Momentum Independent Network Inc. (MIN), a member of FINRA and SIPC. These services are performed under a contract, known as a Fully Disclosed Clearing Agreement (the Clearing Agreement), between HTS and MIN. In the Clearing Agreement, “Financial Professional” or “your Financial Professional” refers to the financial professional with whom you deal or to MIN. In addition, “you”, “your”, and “Customer” refer to each person who signs the account application. HTS’s role is limited to performing execution, clearing and custodial functions for your Financial Professional and MIN. HTS makes no investment recommendations to the customers of your brokerage firm or MIN and assumes no responsibility for any
CUSTOMER AGREEMENT AND INFORMATION BROCHUREFully Disclosed Clearing Agreement • 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 BROCHUREFully Disclosed Clearing Agreement • February 13th, 2023 • 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 Momentum Independent Network Inc. (MIN), a member of FINRA and SIPC. These services are performed under a contract, known as a Fully Disclosed Clearing Agreement (the Clearing Agreement), between HTS and MIN. In the Clearing Agreement, “Financial Professional” or “your Financial Professional” refers to the financial professional with whom you deal or to MIN. In addition, “you”, “your”, and “Customer” refer to each person who signs the account application. HTS’s role is limited to performing execution, clearing and custodial functions for your Financial Professional and MIN. HTS makes no investment recommendations to the customers of your brokerage firm or MIN and assumes no responsibility for any
CUSTOMER AGREEMENT AND INFORMATION BROCHUREFully Disclosed Clearing Agreement • 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 BROCHUREFully Disclosed Clearing Agreement • September 22nd, 2022 • 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 Momentum Independent Network Inc. (MIN), a member of FINRA and SIPC. These services are performed under a contract, known as a Fully Disclosed Clearing Agreement (the Clearing Agreement), between HTS and MIN. In the Clearing Agreement, “Financial Professional” or “your Financial Professional” refers to the financial professional with whom you deal or to MIN. In addition, “you”, “your”, and “Customer” refer to each person who signs the account application. HTS’s role is limited to performing execution, clearing and custodial functions for your Financial Professional and MIN. HTS makes no investment recommendations to the customers of your brokerage firm or MIN and assumes no responsibility for any
CUSTOMER AGREEMENT AND INFORMATION BROCHUREFully Disclosed Clearing Agreement • September 22nd, 2022 • 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 Momentum Independent Network Inc. (MIN), a member of FINRA and SIPC. These services are performed under a contract, known as a Fully Disclosed Clearing Agreement (the Clearing Agreement), between HTS and MIN. In the Clearing Agreement, “Financial Professional” or “your Financial Professional” refers to the financial professional with whom you deal or to MIN. In addition, “you”, “your”, and “Customer” refer to each person who signs the account application. HTS’s role is limited to performing execution, clearing and custodial functions for your Financial Professional and MIN. HTS makes no investment recommendations to the customers of your brokerage firm or MIN and assumes no responsibility for any
CUSTOMER AGREEMENT AND INFORMATION BROCHUREFully Disclosed Clearing Agreement • September 22nd, 2022 • 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 Momentum Independent Network Inc. (MIN), a member of FINRA and SIPC. These services are performed under a contract, known as a Fully Disclosed Clearing Agreement (the Clearing Agreement), between HTS and MIN. In the Clearing Agreement, “Financial Professional” or “your Financial Professional” refers to the financial professional with whom you deal or to MIN. In addition, “you”, “your”, and “Customer” refer to each person who signs the account application. HTS’s role is limited to performing execution, clearing and custodial functions for your Financial Professional and MIN. HTS makes no investment recommendations to the customers of your brokerage firm or MIN and assumes no responsibility for any
CUSTOMER AGREEMENT AND INFORMATION BROCHUREFully Disclosed Clearing Agreement • September 22nd, 2022 • 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 BROCHUREFully Disclosed Clearing Agreement • August 25th, 2021 • 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 BROCHUREFully Disclosed Clearing Agreement • February 25th, 2021
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 BROCHUREFully Disclosed Clearing Agreement • January 25th, 2021 • 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 Momentum Independent Network Inc. (MIN), a member of FINRA and SIPC. These services are performed under a contract, known as a Fully Disclosed Clearing Agreement (the Clearing Agreement), between HTS and MIN. In the Clearing Agreement, “Financial Professional” or “your Financial Professional” refers to the financial professional with whom you deal or to MIN. In addition, “you”, “your”, and “Customer” refer to each person who signs the account application. HTS’s role is limited to performing execution, clearing and custodial functions for your Financial Professional and MIN. HTS makes no investment recommendations to the customers of your brokerage firm or MIN and assumes no responsibility for any
Customer Agreement and Information BrochureFully Disclosed Clearing Agreement • March 27th, 2020 • 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 Hilltop Securities Independent Network Inc. (HTIN), a member of FINRA and SIPC. These services are performed under a contract, known as a Fully Disclosed Clearing Agreement (the Clearing Agreement), between HTS and HTIN. In the Clearing Agreement, “Financial Professional” or “your Financial Professional” refers to the financial professional with whom you deal or to HTIN. In addition, “you”, “your”, and “Customer” refer to each person who signs the account application. HTS’s role is limited to performing execution, clearing and custodial functions for your Financial Professional and HTIN. HTS makes no investment recommendations to the customers of your brokerage firm or HTIN and assumes no respons
Customer Agreement and Information BrochureFully Disclosed Clearing Agreement • September 25th, 2019 • 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 Hilltop Securities Independent Network Inc. (HTIN), a member of FINRA and SIPC. These services are performed under a contract, known as a Fully Disclosed Clearing Agreement (the Clearing Agreement), between HTS and HTIN. In the Clearing Agreement, “Financial Advisor” or “your Financial Advisor” refers to the financial advisor with whom you deal or to HTIN. In addition, “you”, “your”, and “Customer” refer to each person who signs the account application. HTS’s role is limited to performing execution, clearing and custodial functions for your Financial Advisor and HTIN. HTS makes no investment recommendations to the customers of your brokerage firm or HTIN and assumes no responsibility for any inve
