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Business Flow - Required Documents

Documents Required
Hilltop Docs
Work Flowchart
Forms Guidelines


Forms and procedures for Investment Advisory

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


KCD Financial Business Processing

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.

Commission Calendar
Authorization to Update U4
OBA Form
Mutual Fund Switch Letter


In Business Since 2003

Our Rep’s average tenure is over 10 years with our firm.

Over 95 Combined Licensed Years of Experience

Our back office has navigated through the up and down cycles and ever changing regulation changes.

Over 120m Assets Under Management

We have seen considerable growth in the past few years!

Check the background of this financial professional on FINRA's BrokerCheck
Check the background of this financial professional on FINRA's BrokerCheck