Corporate Business
New Business Initiatives
Broker Relations
Recruiting

FINRA and Regulatory Matters
Compliance Oversight
Inquiries / Complaints - Escalated Problem Resolution
Communications with the Public (Advertising)
New Products - Due Diligence and Selling Agreement
Office Audits
Financial Oversight Reporting
Corporate Business

Hilltop Securities Trading
Hilltop Securities Customer Service Issues
Compliance
New Products - Due Diligence
Office Audits

Direct and Brokerage Business Workflow
Commission Processing

Securities Registration
Agent Appointments
Annual Renewals
E&O Information

Business Processing
General Office Information