TrueAdvisor
TrueAdvisor
MA
MA

Mark Augusta

Hilltop Securities INC.
40 Years of Experience
San Diego, CA
23 DisclosuresBroker
View SEC Summary
View SEC Summary

Mark Augusta is a registered investment advisor at Hilltop Securities INC., based in San Diego, CA, with 40 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 3,407 clients with $2.5B in assets under management.

Hilltop Securities INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
186 advisors
Number of Clients
3,407 clients
Average Client Portfolio
$736K average
Assets Under Management
$2.5B

Fee Structure

Minimum Investment:$30K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K3.00%
$250K - $500K2.50%
$500K - $1000K2.25%
$1.0M - $4.0M2.00%
$4M+1.85%

Rates reflect maximum wrap fee schedules across primary advisory programs (such as Compass UMA and Gateway FSP). Fees are negotiable and vary by program.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

750 B Street, Suite 3100, San Diego, CA, 92101

Get directions

History

Regulatory History (23)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2025
Settled
Customer Dispute
April 2024
Denied
Customer Dispute
March 2021
Settled
Customer Dispute
August 2020
Settled
Customer Dispute
May 2020
Settled
Customer Dispute
February 2019
Settled
Customer Dispute
August 2018
Settled
Customer Dispute
July 2018
Settled
Customer Dispute
March 2018
Settled
Customer Dispute
October 2016
Settled
Customer Dispute
January 2016
Settled
Employment Separation After Allegations
May 2015
Customer Dispute
May 2015
Award / Judgment
Customer Dispute
November 2001
Final
Customer Dispute
April 2001
Final
Customer Dispute
December 2000
Final
Customer Dispute
October 2000
Settled
Customer Dispute
September 2000
Pending
Customer Dispute
August 2000
Award / Judgment
Customer Dispute
August 2000
Final
Customer Dispute
August 2000
Final
Customer Dispute
July 2000
Award / Judgment
Customer Dispute
June 2000
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Hilltop Securities INC.Broker
May 2015 - Present · 11 yrs 5 mos
Hilltop Securities INC.
May 2015 - Present · 11 yrs 5 mos
Previous Registrations
Wedbush Securities INC.Broker
January 2011 - May 2015 · 4 yrs 4 mos
Wedbush Securities INC.
January 2011 - May 2015 · 4 yrs 4 mos
Stone & Youngberg LLC
July 2006 - January 2011 · 4 yrs 6 mos
Stone & Youngberg LLCBroker
July 2006 - January 2011 · 4 yrs 6 mos
Piper Jaffray & CO.
March 2001 - July 2006 · 5 yrs 4 mos
Piper Jaffray & CO.Broker
December 2000 - July 2006 · 5 yrs 7 mos
Miller & Schroeder Financial, INC.Broker
August 1986 - December 2000 · 14 yrs 4 mos
Baraban Securities, INC.Broker
July 1986 - September 1986 · 2 mos
State Registrations11 states
CACTFLINMNNCNMNVRITXWA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in San Diego, CA →All financial advisors in California →