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Sabaa Modi

Hilltop Securities Inc.

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About Sabaa Modi

Sabaa Modi is a financial advisor with Hilltop Securities Inc. based in Austin, Texas. Sabaa has been in the financial industry since 2017 and holds a Series 63, SIE, Series 79 and Series 52 license. Before joining Hilltop Securities Inc. Sabaa worked at Citigroup Global Markets Inc. and SMBC Nikko Securities America, Inc.

Firm Information

Sabaa Modi is currently registered with Hilltop Securities Inc.. Hilltop Securities Inc. is a corporation formed in 1991 and headquartered in Dallas, Texas. They are a registered investment advisor with over $1 billion in assets under management, serving a diverse client base including individuals, corporations, and charitable organizations. The firm provides a range of services including financial planning, portfolio management, educational seminars, and publication of periodicals. Their website and LinkedIn profile provide further information about their services and team.
Hilltop Securities Inc.

717 N. HARWOOD STREET

DALLAS, TX 75201

$1.87B

Assets Under Management

9

Total Clients

402

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

12b-1 fees

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Sabaa Modi’s Registration & Firm History

TX

05/06/2024 - Present

Hilltop Securities Inc. (AUSTIN TX)

NY

08/01/2018 - 04/10/2024

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

11/08/2016 - 06/26/2018

SMBC NIKKO SECURITIES AMERICA, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/07/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/05/2018

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 11/08/2016

Series 52 - Municipal Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are no public disclosures for Sabaa Modi.
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