Fillable CLEARING QUESTIONNAIRE Condential In order for HilltopSecurities to (HilltopSecurities)

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CLEARING QUESTIONNAIRE Condential In order for HilltopSecurities to (HilltopSecurities)

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C O N T A C T U S
HilltopSecurities is ready to provide you with the forthright
advice and tailored solutions necessary to meet your definition
of success. To learn more, call or visit us online today.
HILLTOPSECURITIES.COM
214.953.4000 | 800.678.3792
1201 Elm Street, Suite 3500
Dallas, Texas 75270
Confidential
In order for HilltopSecurities to determine how we can best service your broker-dealer,
please provide as much information as possible. Once completed, please fax this form to
Correspondent Clearing at 214.859.6026.
CLEARING
SERVICES
QUESTIONNAIRE
© 2019 Hilltop Securities Inc. | All rights reserved | MEMBER: NYSE/FINRA/SIPC | HTS370293517
Company Information
Company Legal Name CRD Registration Number
Registered Trade Name (If Applicable)
Street Address
City State/Prov. (If Applicable) Post Code Primary Contact
Individual Completing Form Email Address
Telephone Number Fax Number Website Address
Type of Ownership State/Prov (If Applicable) Date of Inc.
Public Private (mm/dd/yy)
MPID Trading Symbol (If Public) Fiscal Year End
Number of Registered Representatives Parent Company Number of Branches
(Series 7) (Series 6)
Contact Information
Primary Contact Phone Email CRD
CEO Phone Email CRD
COO Phone Email CRD
SM
CLEARING SERVICES
C O N T A C T U S
HilltopSecurities is ready to provide you with the forthright
advice and tailored solutions necessary to meet your definition
of success. To learn more, call or visit us online today.
HILLTOPSECURITIES.COM
214.953.4000 | 800.678.3792
1201 Elm Street, Suite 3500
Dallas, Texas 75270
CLEARING
SERVICES
QUESTIONNAIRE
© 2019 Hilltop Securities Inc. | All rights reserved | MEMBER: NYSE/FINRA/SIPC | HTS370293517
Customer/Firm Account Profile
Name of Current Money Market Fund(s) Money Fund Balance(s) State Specific Funds Req.
1) 2) 1) 2)
Proprietary Account Debits Proprietary Account Credits Current Clearing Deposit
Firm Inventory Account Debits Firm Inventory Credit Total Customer Margin Debits
Total Number of Accounts Number of Active Accounts Total Number of IRA Accounts
Does your firm have foreign accounts? If yes, how many (please provide a list of countries)?
Yes No
Securities Volume - Please Provide Previous 3 Months Average
Retail Transactions
Equities Per Month Equities Average Exec. Per Order Equities Average Shares Per Order
Orders Executions Shares
Options Per Month Options Average Exec. Per Order Options Average Contracts Per Order
Orders Executions Contracts
Inventory Trades (Street Side) Muni Bonds (Customer) Corporate Debt (Customer)
Average trades per month Trades Avg. Size Trades Avg. Size
Govt. Bonds (Customer) CMO/CDO (Customer) Mutual Funds
Trades Avg. Size Trades Avg. Size Trades Avg. Size
UITs Please List All Other Security Types Security Type
Trades Avg. Size Trades Avg. Size
CLEARING SERVICES
Firm Profile
Business Lines:
General Securities (Retail) General Securities (Advisory) Proprietary Trading Other
Discount (Internet) Active Trading Institutional
If Other Please Describe
Is the firm a market maker? If yes, what security types (please provide a list of securities in which the firm makes a market)?
Yes No Listed - Yes No OTC - Yes No Pink/BB - Yes No
Does your firm underwrite or participate in initial public oerings (IPO's)? How many annually?
Yes No
C O N T A C T U S
HilltopSecurities is ready to provide you with the forthright
advice and tailored solutions necessary to meet your definition
of success. To learn more, call or visit us online today.
HILLTOPSECURITIES.COM
214.953.4000 | 800.678.3792
1201 Elm Street, Suite 3500
Dallas, Texas 75270
SM
CLEARING
SERVICES
QUESTIONNAIRE
© 2019 Hilltop Securities Inc. | All rights reserved | MEMBER: NYSE/FINRA/SIPC | HTS370293517
Additional Services Requirements
Please list any additional services requirements:
Proprietary Transactions
Proprietary Trades (Street Side) Muni Bonds Corporate Debt
Average trades per month Trades Avg. Size Trades Avg. Size
Govt. Bonds CMO/CDO Money Market Instruments
Trades Avg. Size Trades Avg. Size Trades Avg. Size
Equities Per Month Equities Average Exec. Per Order Equities Average Shares Per Order
Orders Executions Shares
Institutional Transactions
Equities Per Month Equities Average Exec. Per Order Equities Average Shares Per Order
Orders Executions Shares
Inventory Trades (Street Side) Muni Bonds (Customer) Corporate Debt (Customer)
Average trades per month Trades Avg. Size Trades Avg. Size
Govt. Bonds (Customer) CMO/CDO (Customer) Number of DVP Transactions
Trades Avg. Size Trades Avg. Size
System Requirements
Current Clearing Firm(s) Quote Vendor Number of Terminals
1) 2)
Electronic order entry? Order Entry System(s)
Yes No
Portfolio Management System Broker Workstation Reporting System
Internet access for clients? Internet order entry for clients? Number of Current Client Users?
Yes No Yes No
CLEARING SERVICES
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CLEARING QUESTIONNAIRE Condential In order for HilltopSecurities to (HilltopSecurities)

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Completed 9 July 2021

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