Mark Augusta
Mark Augusta is a registered investment advisor at Hilltop Securities INC., based in San Diego, CA, with 39 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments. Their firm serves 2,241 clients with $2.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The Horizon Program fee is a negotiated annual flat fee, not to exceed 1.75%, billed quarterly in advance. This fee covers investment advice and reporting. The fee is debited from a separate account the client has with Hilltop Securities, not directly from the Horizon account. The value of alternative investments is based on information provided by the product sponsors and administrators, which may be delayed and not current. This fee is in addition to the investment management fees and other expenses charged by the Alternative Investment Funds and Structured Products.
Location
750 B Street, Suite 3100, San Diego, CA, 92101
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Regulatory History (23)
Customer Dispute
April 2025Customer Dispute
April 2024Customer Dispute
March 2021Customer Dispute
August 2020Customer Dispute
May 2020Customer Dispute
February 2019Customer Dispute
August 2018Customer Dispute
July 2018Customer Dispute
March 2018Customer Dispute
October 2016Customer Dispute
January 2016Employment Separation After Allegations
May 2015Customer Dispute
May 2015Customer Dispute
November 2001Customer Dispute
April 2001Customer Dispute
December 2000Customer Dispute
October 2000Customer Dispute
September 2000Customer Dispute
August 2000Customer Dispute
August 2000Customer Dispute
August 2000Customer Dispute
July 2000Customer Dispute
June 2000Employment History
Current Registrations
Hilltop Securities INC.Broker
Hilltop Securities INC.
Previous Registrations
Wedbush Securities INC.Broker
Wedbush Securities INC.
Stone & Youngberg LLC
Stone & Youngberg LLCBroker
Piper Jaffray & CO.
Piper Jaffray & CO.Broker
Miller & Schroeder Financial, INC.Broker
Baraban Securities, INC.Broker
State Registrations11 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.