Hilltop Securities Fraud and/or Investment Loss Customer Complaint Disclosures
Hilltop Securities: CRD#: 6220/SEC#: 801-55529,8-45123
The firm is headquartered in Dallas, Texas.
It was founded in 1946. It’s parent company is Hilltop Securities Holdings, LLC. A few of its subsidiaries include The Interstate Group, Yacari Consultants, LLC, and Friedman, Luzzatto, & Co. Hilltop Securities holds 53 licenses for U.S. States and Territories and there have been seventy-three disclosures against them as of 2020.
Former Oppenheimer Broker, Dennis Ayre, Has Had Five Customer Complaint Disclosures Since February 2020
By wolper | July 14, 2020
Dennis Ayre (CRD # 5365176) is a previously registered broker at Hilltop Securities Inc. Beverly Hills, CA. Dennis Ayre has been in the securities industry since 2008 and previously worked at Oppenheimer & Company, Inc. and Merrill Lynch, Pierce, Fenner and Smith Inc. According to publicly available records released by [....] Read More →
Former Hilltop Securities Financial Advisor, Richard Cagle, Barred By FINRA For Refusing To Participate In Investigation Into His Sales Practices
By wolperdev | July 16, 2019
Richard Earl Cagle was a Financial Advisor at Hilltop Securities Independent Network in Corpus Christi, TX. Richard Cagle has been in the securities industry since 1991 and previously worked at Principal Financial Securities in Dallas, TX. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in [....] Read More →
Hilltop Securities Financial Advisor, Mark Augusta, Has Twenty-One Customer Complaints, Alleging Sales Practice Violations
By wolperdev | March 25, 2019
Mark F. Augusta is a Financial Advisor at Hilltop Securities, Inc. in Del Mar, California. Mark Augusta has been in the securities industry since 1986 and previously worked at Baraban Securities, Inc. Miller & Schroeder Financial, Inc., Piper Jaffray & Co., Stone & Youngberg, LLC and Wedbush Securities, Inc. According [....] Read More →