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.

Each client’s account is protected up to $150 million, including cash of up to $2 million. The first $500,000 of coverage (including $100,000 on cash holdings) is provided by the Securities Investor Protection Corporation (SIPC). Ridge Clearing & Outsourcing Solutions purchases an additional insurance policy through London Underwriters (with Lloyd’s of London Syndicates as the Lead Underwriter). A $600 million aggregate limit applies as well, which is the most the London Underwriters will pay in the event of liquidation. SIPC insures the assets held in brokerage accounts if the brokerage firm fails. SIPC does not protect investors against investment decline or loss.

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 (Unaudited)
  December 31, 2008
  
  
• Ridge Clearing & Outsourcing Solutions, Inc.
  (An indirect wholly-owned subsidiary of Broadridge Financial Solutions, Inc.)
  Statement of Financial Condition
  June 30, 2008
  
  
• 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