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
FULLY DISCLOSED CLEARING AGREEMENT BETWEEN SPEAR, LEEDS & KELLOGG, L.P. AND OPTIONSXPRESS, INC.Fully Disclosed Clearing Agreement • January 7th, 2005 • optionsXpress Holdings, Inc. • Security brokers, dealers & flotation companies • New York
FULLY DISCLOSED CLEARING AGREEMENT BETWEEN SPEAR, LEEDS & KELLOGG, L.P. AND GlobeNet Securities, Inc.Fully Disclosed Clearing Agreement • June 14th, 2004 • Archipelago Holdings L L C • Security & commodity brokers, dealers, exchanges & services • New York
This AGREEMENT is made and entered into as of this day of December 2002 by and between Spear, Leeds & Kellogg, L.P. ("SLK") and GlobeNet Securities ("Broker").
EX-10.24 3 dex1024.htm FULLY DISCLOSED CLEARING AGREEMENT OF PERSHING, LLC FULLY DISCLOSED CLEARING AGREEMENT OF PERSHING LLC (FINRA MEMBER)Fully Disclosed Clearing Agreement • May 5th, 2020 • New York
THIS AGREEMENT is made and entered into this 19th day of March, 2008 by and between Pershing LLC (“Pershing”), a limited liability company, and Summit Brokerage Services, Inc. (“Broker”), a Florida corporation.
Correspondent Customer Information Brochure CUSTOMER AGREEMENT AND INFORMATION BROCHUREFully Disclosed Clearing Agreement • March 18th, 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. 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 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 Advisor. HTS makes no investment recommendations to You, your Financial Advisor, or the customers
Correspondent Customer Information Brochure CUSTOMER AGREEMENT AND INFORMATION BROCHUREFully Disclosed Clearing Agreement • August 22nd, 2017 • 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
FULLY DISCLOSED CLEARING AGREEMENT This Agreement, made this 1st day of January, 1999, between JEFFERIES & COMPANY, INC. (the "Clearing Broker") and ITG INC. (the "Introducing Broker"), sets forth the terms and conditions under which the Clearing...Fully Disclosed Clearing Agreement • April 20th, 1999 • Jef Holding Co Inc
FULLY DISCLOSED CLEARING AGREEMENT OF SG AMERICAS SECURITIES, LLCFully Disclosed Clearing Agreement • August 24th, 2006 • Cowen Group, Inc. • Security brokers, dealers & flotation companies • New York
THIS AGREEMENT is made and entered into this 12th day of July, 2006 by and between SG AMERICAS SECURITIES, LLC (“Clearing Agent”), a Delaware limited liability company, and COWEN AND COMPANY, LLC (“Introducing Firm”), a Delaware limited liability company.
FULLY DISCLOSEDFully Disclosed Clearing Agreement • December 17th, 2003 • American Portfolios Holdings Inc • Blank checks • New York
FULLY DISCLOSED CLEARING AGREEMENT BETWEEN APEX CLEARING CORPORATION AND WEBULL FINANCIAL LLC FULLY DISCLOSED CLEARING AGREEMENTFully Disclosed Clearing Agreement • December 5th, 2024 • Webull Corp • Security brokers, dealers & flotation companies • Texas
This Fully Disclosed Clearing Agreement (this “Agreement”) is executed and entered into by and between Apex Clearing Corporation (“Apex”), a New York corporation, and Webull Financial LLC (“Correspondent”).
OFFully Disclosed Clearing Agreement • November 16th, 1999 • Chapman Holdings Inc • Security brokers, dealers & flotation companies • New York
FULLY DISCLOSED CLEARING AGREEMENTFully Disclosed Clearing Agreement • June 21st, 2006 • Clayton Dunning Group • Security brokers, dealers & flotation companies • Texas
This Fully Disclosed Clearing Agreement (the "Agreement") is executed and entered into by and between First Southwest Company ("FSWC"), a Texas Corporation, and Charleston Capital ("CLAY') This Agreement will be deemed effective at 12:01 a.m. on the first day business is transacted hereunder.
EX-99.6 9 dex996.htm AMENDMENT NO. 1 TO FULLY DISCLOSED CLEARING AGREEMENT AMENDMENT NO. 1 TO FULLY DISCLOSED CLEARING AGREEMENTFully Disclosed Clearing Agreement • May 5th, 2020 • New York
AMENDMENT NO. 1 dated as of December 8, 2005 (this “Amendment”), to the FULLY DISCLOSED CLEARING AGREEMENT (the “Clearing Agreement”), dated as of January 10, 2003, between INSTINET CLEARING SERVICES, INC. (“ICS”), and INET ATS, INC. (f/k/a Island ECN, Inc.) (“Correspondent”).
OFFully Disclosed Clearing Agreement • September 17th, 2003 • American Portfolios Holdings Inc • New York
ContractFully Disclosed Clearing Agreement • March 28th, 2008 • Broadpoint Securities Group, Inc. • Security brokers, dealers & flotation companies • New York
EX-10.23 2 dex1023.htm FULLY DISCLOSED CLEARING AGREEMENT OF FIRST CLEARING, LLC FULLY DISCLOSED CLEARING AGREEMENT OF FIRST CLEARING, LLCFully Disclosed Clearing Agreement • May 5th, 2020 • Virginia
THIS AGREEMENT is made and entered into this 26th day of October, 2007 by and between FIRST CLEARING, LLC (“First Clearing”) and Summit Brokerage Services, Inc. (“Broker”).
FULLY DISCLOSED CLEARING AGREEMENT This Fully Disclosed Clearing Agreement (the "Agreement") is executed and entered into by and between Southwest Securities, Inc. ("Southwest"), a Delaware corporation, and Raike Financial Group, Inc....Fully Disclosed Clearing Agreement • January 4th, 2002 • Raike Financial Group Inc/Ga • Security brokers, dealers & flotation companies
CUSTOMER AGREEMENT AND INFORMATION BROCHUREFully Disclosed Clearing Agreement • 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
AMENDMENT TO FULLY DISCLOSED CLEARING AGREEMENTFully Disclosed Clearing Agreement • April 16th, 2008 • Broadpoint Securities Group, Inc. • Security brokers, dealers & flotation companies • New York
This AMENDMENT (the “Amendment”) to the Fully Disclosed Clearing Agreement (defined below), is made as of the 10th day of April, 2008 by and between Ridge Clearing &
Correspondent Customer Information Brochure CUSTOMER AGREEMENT AND INFORMATION BROCHUREFully Disclosed Clearing Agreement • January 7th, 2018 • 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 Advisor” or “your Financial Advisor” refers to the Financial Advisor 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 Advisor. HTS makes no investment recommendations to You, your Financial Advisor, or the customers
Correspondent Customer Information Brochure CUSTOMER AGREEMENT AND INFORMATION BROCHUREFully Disclosed Clearing Agreement • May 7th, 2008 • 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
FULLY DISCLOSED CLEARING AGREEMENT OF KEEFE, BRUYETTE & WOODS, INC.Fully Disclosed Clearing Agreement • September 28th, 2006 • Kbw, Inc. • Finance services • New York
THIS AGREEMENT is made and entered into this 28th day of February, 2005 by and between Fortis Securities LLC ("Fortis"), a Limited Liability Company, and Keefe, Bruyette & Woods, Inc. ("Broker"), a New York Corporation.
EXHIBIT 10.15 FULLY DISCLOSED CLEARING AGREEMENT This Agreement, made this 31 day of July, 1997, between MORGAN STANLEY & CO. INCORPORATED (the "Clearing Broker") and EURO BROKERS MAXCOR INC. (the "Introducing Broker"), sets forth the terms and...Fully Disclosed Clearing Agreement • October 7th, 1997 • Maxcor Financial Group Inc • Loan brokers
Fully Disclosed Clearing AgreementFully Disclosed Clearing Agreement • July 9th, 2012 • Network 1 Financial Group, Inc. • Security brokers, dealers & flotation companies • New York
This agreement (the "Agreement") is made between Legent Clearing LLC, ("Clearing Broker"), and Network 1 Financial Securities, Inc. ("Correspondent"), having the form of organization set forth below.
FULLY DISCLOSED CLEARING AGREEMENT AS AMENDED BETWEEN RIDGE CLEARING & OUTSOURCING SOLUTIONS, INC. -and- HUDSON SECURITIES INC.Fully Disclosed Clearing Agreement • August 12th, 2008 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York
This agreement (the “Agreement”), dated as of December 1, 2007, between Ridge Clearing & Outsourcing Solutions, Inc. (“Ridge”) and Hudson Securities Inc. (“Correspondent”), sets forth the terms and conditions under which Ridge will provide execution and clearing services, on a fully disclosed basis, to Correspondent and its customers. Ridge will provide such services only to the extent required by this Agreement, and shall not be responsible for any duties or obligations not specifically allocated to Ridge by this Agreement. Nothing in this Agreement shall be deemed to delegate to Ridge any regulatory obligation of Correspondent. The parties agree that the target date for the conversion of Correspondent onto the Services is April 1, 2008.
FULLY DISCLOSED CLEARING AGREEMENT BETWEEN SIDOTI & COMPANY LLC AND CONVERGEX EXECUTION SOLUTIONS LLCFully Disclosed Clearing Agreement • October 23rd, 2014 • Sidoti & Company, Inc. • New York
FULLY DISCLOSED CLEARING AGREEMENT OF PERSHING DIVISION DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATIONFully Disclosed Clearing Agreement • September 28th, 2006 • Kbw, Inc. • Finance services • New York
THIS AGREEMENT is made and entered into as of this October 22, 1992 by and between the Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation ("Pershing"), a Delaware Corporation and Keefe, Bruyette & Woods, Inc. ("Broker"), a New York Corporation.
FULLY DISCLOSED CLEARING AGREEMENT SUBMITTED BY: NATIONAL FINANCIAL SERVICES LLCFully Disclosed Clearing Agreement • August 16th, 2010 • Siebert Financial Corp • Security brokers, dealers & flotation companies
This Agreement for fully disclosed clearing services (“Agreement”), shall be effective, subject to approval by the Financial Industry Regulatory Authority (“FINRA”), as of the last date executed by the parties as set forth below (“Effective Date”), by and between NATIONAL FINANCIAL SERVICES LLC (“NFS”), a Delaware limited liability company, and MURIEL SIEBERT & CO., INC. (“Correspondent”), a Delaware corporation. Beginning as of the Effective Date, this Agreement replaces and supersedes the clearing agreement between NFS and Correspondent dated March 20, 2000.
FULLY DISCLOSED CLEARING AGREEMENT BETWEEN SPEAR, LEEDS & KELLOGG AND WAVE SECURITIES LLCFully Disclosed Clearing Agreement • August 5th, 2004 • Archipelago Holdings L L C • Security & commodity brokers, dealers, exchanges & services • New York
This AGREEMENT is made and entered into as of this 7th day of May, 2004 by and between Spear, Leeds & Kellogg, L.P. (“SLK”) and Wave Securities LLC (“Broker”).
Correspondent Customer Information Brochure CUSTOMER AGREEMENT AND INFORMATION BROCHUREFully Disclosed Clearing Agreement • May 7th, 2008 • 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
OFFully Disclosed Clearing Agreement • March 16th, 2004 • Ziegler Companies Inc • Security brokers, dealers & flotation companies • New York
FULLY DISCLOSED CLEARING AGREEMENT BETWEEN TERRA NOVA TRADING, L.L.C. -and- Clayton, Dunning & CompanyFully Disclosed Clearing Agreement • April 10th, 2006 • Clayton Dunning Group • Security brokers, dealers & flotation companies • Illinois
This agreement (the "Agreement"), dated as of July 6, 2004, by and between TERRA NOVA TRADING, L.L.C. ("Clearing Broker") and Clayton, Dunning & Company ("Correspondent"), sets forth the terms and conditions under which Clearing Broker shall provide execution, clearing and settlement services, on a fully disclosed basis, to Correspondent and its customers. Clearing Broker shall provide such services only to the extent required by this Agreement, and shall not be responsible for any duties or obligations not specifically allocated to Clearing Broker by this Agreement.
FULLY DISCLOSED CLEARING AGREEMENTFully Disclosed Clearing Agreement • February 14th, 2023
Pursuant to the terms and conditions of the Fully Disclosed Clearing Agreement to which it is attached, this Schedule A provides for fees and other charges made to Introducing Firm by Clearing Firm. All capitalized terms shall have the same meaning as defined in the Fully Disclosed Clearing Agreement.
Customer Agreement Form Interactive Brokers Fully Disclosed Gearing AgreementFully Disclosed Clearing Agreement • February 22nd, 2019 • Up Fintech Holding LTD • Security brokers, dealers & flotation companies
Pursuant to Financial Industry Regulatory Authority (“FINRA”) Rule 4311, this Fully Disclosed Clearing Agreement (“Agreement”) is entered into by and between Interactive Brokers LLC, a limited liability company that is duly organized and existing under the laws of the State of Connecticut, with a principal place of business located in Greenwich, Connecticut (“Interactive”) and Top Capital Partners (“Introducing Broker”) (collectively “the Parties”).
Interactive Brokers Fully Disclosed Clearing AgreementFully Disclosed Clearing Agreement • October 27th, 2014
Pursuant to Financial Industry Regulatory Authority ("FINRA") Rule 4311, this Fully Disclosed Clearing Agreement ("Agreement") is entered into by and between Interactive Brokers LLC, a limited liability company that is duly organized and existing under the laws of the State of Connecticut, with a principal place of business located in Greenwich, Connecticut ("Interactive") and ("Introducing Broker") (collectively "the Parties").
