HilltopSecurities HilltopSecurities

Disclosures

01

View Our Full List of Disclosures Below

The information provided is intended for U.S. residents only.

Anonymous Reporting Hotline
Auction Rate Securities Disclosure
Brokerage Services Disclosure Brochure (Reg BI Disclosure)
Business Continuity Plan
California Consumer Privacy Act (CCPA)
Callable Securities Disclosure
Commercial Paper Disclosure
Consolidated Audit Trail Disclosure
Customer Identification Notice
Customer Information Brochure
Extended Hours Disclosure
Extreme Market Conditions Disclosure
Form CRS
HilltopSecurities Insurance Disclosure
HTS Commodities Disclosure
Identity Theft
Investment Adviser Form ADV Part II
Issues to consider when your broker changes firms (FINRA)
Mutual Funds Breakpoint Discounts Disclosure Statement
NYSE Rules Disclosure
OCC Options Disclosure Document
Official Rules – 2025 HilltopSecurities GFOA Conference Drawing
Online Privacy Policy
Order Routing Disclosure
Our Customer Protection
Privacy Policy (HTS)
Prospectus & CD Disclosure
Retirement/Qualified Plan Disclosures
Share-Class Initiative Settlement
Statement of Financial Condition
Sweep Account Disclosure
Terms of Use / Website Disclaimer

Learn More From HilltopSecurities

Municipal Commentary

About Us

Thank you for visiting the HilltopSecurities website.
For best viewing experience, we recommend using Chrome, Firefox, Safari, or Microsoft Edge.