Remember the KCD New Account Form, Investment Disclosure Forms, and Customer Information Brochure are two sided forms.
ALTERNATIVE INVESTMENTS Disclosure
BENEFICIAL OWNERSHP Certification (FINCEN FORM)
BROKERAGE ACCOUNT DISCLOSURE
BROKERAGE TRANSACTION DISCLOSURE
CERTIFICATES OF DEPOSIT DISCLOSURE STATEMENT
CHANGE OF ADDRESS REQUEST FORM
CHANGE OF ADDRESS REQUEST FORM (FILLABLE)
communication with the public compliance approval
CUSTOMER DISCLOSURE BROCHURE
HOW TO PROCESS BUSINESS
Illiquidity Acknowledgement (fillable)
IRA ROLLOVER FORM(custodian-client-custodian)
IRA TO IRA ROLLOVER FORM(custodian-custodian)
MUTUAL FUND SWITCH LETTER
MUTUAL FUNDS OR 529 PLANS INVESTMENT DISCLOSURE
NEGATIVE CONSENT LETTERS
NEW ACCOUNT FORM
NOTICE TO CHANGE BROKER DEALER
Penny Stock Disclosure Form
Penny Stock Exemption Form
REDEMPTION OF SECURITIES FORM
REDEMPTION OF SECURITIES TO A NON-SECURITIES PRODUCT (Fillable)
Repaper - Negative Consent Letter
Retirement Investing Questionnaire with Agreement Wording
VA & VL Redemption Form
VARIABLE ANNUITIES INVESTMENT DISCLOSURE
Variable Annuity Share Class
Remember to be aware of multiple page documents and to check with KCD for appropriate licensing and registration before attempting to conduct or process advisory type transactions.
Qualified Plan Rollover Form
IRA TO IRA ROLLOVER FORM
Investment Advisory Agreement
RIA Clearing Election Form
Form ADV Part 2A
Illinois 3rd Party Addendum
How To Establish RIA Accounts
Invoice for RIA Services (non-HTS)
RIA Termination Request Form
You can access Hilltop Securities forms by logging into the broker station and clicking "Learning Exchange" on the drop down menu. Then, click on the "Departments" icon, then on the word "Department Forms." This will bring you to the list of forms.
Authorization to Update U4
Mutual Fund Switch Letter
Our Rep’s average tenure is over 10 years with our firm.
Our back office has navigated through the up and down cycles
and ever changing regulation changes.
We have seen considerable growth in the past few years!