Common Contracts
4 similar null contracts
Customer Agreement and Information BrochureNew York • March 27th, 2020
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 BrochureNew York • September 25th, 2019
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
Customer Agreement and Information BrochureNew York • August 13th, 2015
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 Advisor” or “your Financial Advisor” refers to the financial advisor with whom you deal or to the introducing brokerage firm
Customer Agreement and Information BrochureNew York • August 13th, 2015
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 Advisor” or “your Financial Advisor” refers to the financial advisor with whom you deal or to the introducing brokerage firm
