NEW YORK – May 17, 2023 – Hilltop Securities Inc. has selected global Fintech leader, Broadridge Financial Solutions, Inc. (NYSE:BR), to provide new regulatory communications tools, expanded market coverage, and solutions to help transform the communications experience for advisors, correspondents, and investors while driving engagement and greater digital adoption.

“We are always looking for new capabilities that help our advisors and correspondents grow their business, differentiate themselves in the market, and enhance client relationships.” said David Holleran, HilltopSecurities COO. “Broadridge is a leader in transforming regulatory and customer communications and helping firms drive digital adoption by providing an improved experience for advisors and wealth management firms.”

HilltopSecurities is focused on transforming their communications to deliver a more engaging and interactive digital experience for customers while ensuring they are meeting evolving regulatory requirements. The partnership provides a holistic and consistent multi-channel user experience across the full spectrum of investor communications including comprehensive event coverage and processing of regulatory communications like proxies (for US and EU based Issuers), fund disclosures, post-sale prospectus, voluntary corporate actions; as well as statements, trade confirmations, and tax documents.

“We are excited to have HilltopSecurities back with Broadridge, working with them to provide the best in market communication tools and a better and stronger advisor and investor communications experience,” said Doug DeSchutter, Broadridge President, Bank Broker-Dealer and Customer Communications. “Broadridge’s multi-channel communication solutions will provide HilltopSecurities’ advisors, correspondents and clients leading edge technology to drive adoption to digital channels. Our ability to support regulatory and transactional communications under one roof is unmatched, HilltopSecurities customers will have similar client experience options across statements, confirms, tax forms, prospectus and proxies, including voting proxies via the only mobile app in the market.”