Articles Tagged with Hilltop Securities

Richard CaglePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Texas-based Hilltop Securities broker Richard Cagle has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cagle (CRD# 2122648).

Richard Cagle has spent 27 years in the securities industry and has been registered with Hilltop Securities in Corpus Christi, Texas since 1997. He was previously registered with Principal Financial Securities in Dallas, Texas (1991-1997). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 20, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on February 11, 1991. He is a registered broker with three US states: California, Hawaii and Texas.

According to his BrokerCheck report, he has received one pending customer complaint.

Mark AugustaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 25, 2018 indicate that California-based Hilltop Securities broker/adviser Mark Augusta has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Augusta (CRD# 1333913).

Mark Augusta has spent 32 years in the securities industry and has been registered with Hilltop Securities in Del Mar, California since 2015. Previous registrations include Wedbush Securities in Solana Beach, California (2011-2015); Stone & Youngberg in San Diego, California (2006-2011); Piper Jaffray in La Jolla, California (2000-2006); Miller & Schroeder Financial in Minneapolis, Minnesota (1986-2000); and Baraban Securities (1986). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 23, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 3, 1986; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on July 19, 1986. He is a registered broker and investment adviser with 12 US states: California, Connecticut, Florida, Indiana, Minnesota, Nevada, New Mexico, North Carolina, Oklahoma, Rhode Island, Texas, and Washington.

According to his BrokerCheck report, he has received seven customer complaints and four pending customer complaints.

Ronald Calvin

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that former Washington-based Hilltop Securities broker/adviser Ronald Calvin is involved in a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Calvin (CRD# 1155195).

Ronald Calvin has spent 35 years in the securities industry and was most recently registered with Hilltop Securities in White Salmon, Washington (2008-2018). He was previously registered with ML Stern & Company in Beverly Hills, California (1983-2008). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 2, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 2, 1984; Series 7 (General Securities Representative Examination), which he obtained on July 16, 1983; and Series 24 (General Securities Principal Examination), which he obtained on February 12, 2001. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint.