About Ridge Clearing & Outsourcing Solutions

Ridge Clearing & Outsourcing provides full-scale execution, clearing and business enhancement services for broker-dealers nationwide and abroad. Our correspondents include some of the industry's most prominent financial service providers.

Our product menu includes an expansive mutual fund roster (including no transaction fee "NTF" funds), a variety of Retirement Plans (for which we are the custodian), comprehensive cash management services, brand name institutional quality research, and fee-based advisory products.

As a member of Euroclear, Cedel and the Citibank Global Custodian Clearance Network, we also offer extensive international clearing capabilities including multi-currency confirm and statement reporting.

Ridge Clearing is a member of the Securities Investor Protection Corporation (SIPC), which protects securities and cash of the customers of its members up to a maximum of $500,000, of which $100,000 may be cash. For additional information, including a brochure, about SIPC coverage, please call (202) 371-8300 or visit www.sipc.org. Ridge Clearing has purchased an additional insurance policy through a group of London Underwriters (with Lloyd's of London Syndicates as the Lead Underwriter) to supplement SIPC protection. This additional insurance policy becomes available to customers in the event that SIPC limits are exhausted and provides protection for securities and cash up to an aggregate of $600 million. This is provided to pay amounts in addition to those returned in a SIPC liquidation. This additional insurance policy is limited to a combined return to any customer from a Trustee, SIPC and London Underwriters of $150 million, including cash of up to $2 million. This additional insurance does not protect against a loss in the market value of securities.

Each correspondent firm is assigned a dedicated and experienced Relationship Manager responsible for managing the overall relationship. Ridge Clearing & Outsourcing also provides on-site and web-delivered training and seminars pertaining to operations, systems and applications and products and services. Our Correspondent Resource Center (CRC) is a robust online storefront offering a variety of products and services, communications, and administrative tools.

Statements and Documents

• Ridge Clearing & Outsourcing Solutions, Inc.
  (An indirect wholly-owned subsidiary of Broadridge Financial Solutions, Inc.)
  Statement of Financial Condition
  June 30, 2009
  
  
• Ridge Clearing & Outsourcing Solutions, Inc.
  (An indirect wholly-owned subsidiary of Broadridge Financial Solutions, Inc.)
  Statement of Financial Condition (Unaudited)
  December 31, 2008
  
  
• SEC Rule 606 Report for the Quarter Ending December 31, 2009



• SEC Rule 606 Report for the Quarter Ending September 30, 2009



• SEC Rule 606 Report for the Quarter Ending June 30, 2009



• SEC Rule 606 Report for the Quarter Ending March 31, 2009



• SEC Rule 606 Report for the Quarter Ending December 31, 2008



• SEC Rule 606 Report for the Quarter Ending September 30, 2008



• SEC Rule 606 Report for the Quarter Ending June 30, 2008



• SEC Rule 606 Report for the Quarter Ending March 31, 2008



• SEC Rule 606 Report for the Quarter Ending December 31, 2007



• SEC Rule 606 Report for the Quarter Ending September 30, 2007