Carl Gill: Investor Seeks to Recover Six-Figure Losses

Carl Gill (CRD #: 1076361), an investment adviser registered with Asset Preservation Capital, is involved in a six-figure dispute according to his Investment Adviser Public Disclosure record, accessed on May 13, 2021. This is his second investor dispute of 2021.

On March 12, 2021, an investor alleged that Carl Gill engaged in negligence and misrepresented certain securities. The investor further alleged that Gill engaged in wrongful conduct. The investor is seeking $176,885; the dispute is pending.

Less than a month earlier, Gill faced another allegation of misconduct. On February 22, 2021, an investor alleged Gill engaged in wrongful conduct, as well as gross negligence and misrepresentation. The investor sought $50,000; the dispute settled for $35,000.

Permitted Resignations from Employers

Carl Gill was permitted to resign from two different firms on the same day.

  • On December 4, 2015, United Planners Financial Services permitted Carl Gill to resign. This followed allegations that Gill placed a discretionary trade in a non-discretionary account.
  • On December 4, 2015, Spectrum Financial Resources permitted Carl Gill to resign following the same allegations regarding an unauthorized discretionary trade.

Investor Dispute Involving an Annuity

On April 10, 2007, an investor alleged that they lost money on annuity investments that Gill recommended. The investor sought $42,424.22; the dispute settled for that amount.

Background Information

Gill has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 3 National Commodity Futures Examination, the Series 5 Interest Rate Options Examination, and the Series 7 General Securities Representative Examination. He is a registered investment adviser in Michigan.

Carl Gill has worked for the following firms:

  • Healthview Asset Management (CRD #: 141884)
  • Elevated Performance Investment Group (CRD #: 171950)
  • Spectrum Financial Resources (CRD #: 127453)
  • United Planners’ Financial Services of America (CRD #: 20804)
  • Asset Advisors (CRD #: 118108)
  • Professional Asset Management (CRD #: 21125)
  • Leonard & Company (CRD #: 36527)
  • Vestax Securities Corporation (CRD #: 10332)
  • First of Michigan Corporation (CRD #: 311)
  • Dean Witter Reynolds (CRD #: 7556)

If you worked with Carl Gill and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for a free case consultation

Leave a Comment