Polar Investment Counsel, Inc.

Independent Securities & Futures Brokers

Member: FINRA, NFA, MSRB, SIPC


   SEC Reg BI goes into effect 6-30-2020 - Please view Form CRS for disclosure of this new regulation * New online experience!  HTS presents MOmentum - A new experience in online viewing of your investment account *

SEC Reg BI Form CRS            HTS MOmentum Login

SEC Reg BI Form CRS
About PICI
About Hilltop Securities
Account Information
Alternative Investing
Firm Financial Audit
Investor Education
Products & Services
SEC Rule 11Ac-1
Contact Us
 

Click below to view:

US National Debt

 
PICI Customer Information Brochure
 
 

SEC Rule 11Ac                                 SEC 11Ac1-6 Disclosure

 

SEC Rule 11Ac1-6 Report - PICI - 1 Qtr 2020

(Percentage of Total Non-Directed Orders Routed to Individual Route Venues)

Securities Listed on New York Stock Exchange

Route Venue

Total %

  Market %

  Limit %

 
NYSE 0 0 0  
Hilltop Securities 100 6 94  
Approximately 99% of total customer orders were non-directed orders.
 

Securities Listed on NASDAQ Stock Market

Route Venue Total % Market % Limit %  
Hilltop Securities 100 6 94  
Approximately 99% of total customer orders were non-directed orders.
         

Securities Listed on American Stock Exchange (AMEX) or

Regional Exchanges

Route Venue Total % Market % Limit%  
AMEX & Regional 0 0 0  
Hilltop Securities 100 6 94  
Approximately 99% of total customer orders were non-directed orders.
 
Exchange-Listed Options
Route Venue Total % Market % Limit % Other%  
NYSE 0.00 1 99 >1  
ASE 0.00 1 99 >1  
CBOE 0.01 1 99 >1  
NASDAQ 0.00 1 99 >1  
Other 99.99 1 99 >1  
100% of orders were non-directed.  
   
SEC Rule 11Ac1-5 - Best Execution  

Each firm has a duty to insure that it is getting the best execution possible.  The link below will take you to a site that enables you to download and view best execution data for Hilltop  Securities, Inc.  Click on the link, then select Hilltop Securities, Inc. from the list and follow the online instructions.

 

HTS Best Execution Data

 

Website Created By: SWS LLC

PICI 2020 All rights reserved

 SEC Reg BI Form CRSAbout PICI About HTS Account Information ▪ Alternative Investing

 Firm Financial Audit  Investor Education Products & Services SEC Rule 11ac1Contact Us