Clearing
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Clearing & Custody Services

Full Service Clearing & Custody for Financial Firms Nationwide

HilltopSecurities has been a pioneer in the Clearing & Custody space since 1972. Our experienced operational support team, technical solutions, and superior service are all designed to support the unique needs of full-service retail RIAs and broker/dealers, hybrid firms, wealth management firms, and omnibus relationships. Our deep history in the fixed income markets gives us the experience necessary to provide industry leading clearing & settlement solutions for buy-side and sell-side fixed income and equity execution firms.
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Clearing & Custody Solutions

As one of the nation’s largest Clearing & Custody providers, HilltopSecurities is committed to long-term partnerships that help you to grow your business and serve your clients. We offer safekeeping, execution, operational and trade reporting interfaces for a wide range of investment products. Our long history in Correspondent Clearing has always focused on capital strength, an open architecture that ensures support when you need us, and platforms and services that help your firm operate efficiently so that you can focus on your client’s needs and growing your business.

Broker-Dealers and Registered Investment Advisors need a Clearing solution tailored to their unique needs and objectives. HilltopSecurities understands the importance of customized, white-labeled solutions for your advisors and clients, including:

  • Front-office and middle-office platform, MOmentum Advisor, provides you with a secure order entry functions, access to your client account history & information, work-flow engines, Accounting/payroll tools, compliance and on-demand reporting tools —all through a robust single data source.
  • Through our partnership with Envestnet, HilltopSecurities provides RIA and Hybrid firms access to portfolio management and rebalancing capabilities, performance reporting, and billing services.
  • We also integrate with dozens of trading platforms and third-party vendors that provide financial planning, payroll and compliance support to help your firm stay competitive and flexible.
  • We offer Cash Management solutions including a Bank Sweep program that provides your clients with FDIC Coverage up to $5 Million, as well as multiple Money Market Fund sweep options.
  • HilltopSecurities offers competitive rates for clients wishing to utilize margin lending to facilitate an investment strategy or to access excess cash in their accounts.
  • HilltopSecurities’ Stock Loan team has decades of experience in assisting clients who wish to execute Short Sale strategies.

 

Whether your firm focuses on primary or secondary market trading, fixed income or equity firms require not only an understanding of the relationship between your firm and your institutional counterparties, but also the importance of your ability to monitor operational accuracy and timely trade reporting. We help to provide firms with:

  • Trade clearance, settlement, and regulatory reporting for many of the industry’s largest and best-known fixed income and equity execution platforms.
  • Customized solutions for firms who utilize proprietary solutions through FIX and API Connectivity.
  • Middle-office tools to help monitor inventory positions, street-side and dealer-side trade comparison, and real-time settlement status, as well as the ability to monitor TRACE reporting status all within one portal.
  • Our Advisory Services Group (ASG) provides access to certain turn-key and a la carte services for fee-based advisory accounts, as well as performance reporting services for brokerage accounts. Learn more about Advisory Services.
  • HilltopSecurities offers a wide range of investment solutions to help you reach your ideal picture of financial independence and security. Our advisors have expertise across the full spectrum of investment products — including individual equity and option trading, fixed income solutions, mutual funds, and more. Learn more about Investment Solutions.

Our advisor/middle-office platform, MOmentum Advisor, provides you with web-accessible order entry functions, access to view your client account information at a book-of business, household or individual account level, and on-demand reporting tools—all through a robust single data source. We also integrate with dozens of trading platforms to provide financial planning, payroll, and compliance support to our Correspondent firms. Learn more about our Technology Solutions.

Our Service & Support Philosophy

Clearing and Custody is all about finding the right fit, not just for today, but one that will support your firm’s growth strategy, evolve to meet the needs of your clients and advisors, and stay ahead of the technology, regulatory and product & services landscape for years to come.

HilltopSecurities recognizes that our role as your clearing and custody partner is one of your firm’s most trusted and important relationships. The trust our clients place in us as their clearing partner is what drives all that we do.

You are not a number at HilltopSecurities. We have the capital strength and a deep knowledge and history in the clearing & custody space–servicing a full range of firms and products, but we have never let go of the personal service and nimbleness that often makes all the difference.

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