Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Fred Augusta is an investment advisor representative at Hilltop Securities Inc. Mark has been in the financial services industry since 1986. Mark has a Series 7 and Series 63 registration and is licensed in the following states: California, Connecticut, Florida, Indiana, Minnesota, Nevada, New Mexico, North Carolina, Oklahoma, Rhode Island, and Texas. Mark specializes in portfolio management for individuals, financial planning, educational seminars and publication of periodicals. Mark's firm is registered in the following states: California, Connecticut, Florida, Indiana, Minnesota, Nevada, New Mexico, North Carolina, Oklahoma, Rhode Island, and Texas. Hilltop Securities Inc. has offices in Dallas, Texas and other locations around the country.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
CA
07/15/2021 - Present
Hilltop Securities Inc. (SAN DIEGO CA)
CA
01/26/2011 - 05/28/2015
WEDBUSH SECURITIES INC. (SOLANA BEACH CA)
CA
07/17/2006 - 01/28/2011
STONE & YOUNGBERG LLC (SAN DIEGO CA)
CA
12/20/2000 - 07/21/2006
PIPER JAFFRAY & CO. (LAJOLLA CA)
MN
08/23/1986 - 12/21/2000
MILLER & SCHROEDER FINANCIAL, INC. (MINNEAPOLIS MN)
NA
07/23/1986 - 09/04/1986
BARABAN SECURITIES, INC.
IA
Issued 04/23/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/03/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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