Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that New Mexico-based Independent Financial Group broker/adviser David Hill was discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hill (CRD# 3074816).
David Hill has spent 19 years in the securities industry and has been registered with Independent Financial Group in Las Cruces, New Mexico since August 2017. Previous registrations include LPL Financial in Las Cruces, New Mexico (2009-2017) and Edward Jones in Las Cruces, New Mexico (1998-2009). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 23, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 29, 1998; Series 7 (General Securities Representative Examination), which he obtained on July 27, 1998; Series 24 (General Securities Principal Examination), which he obtained on October 9, 2009; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on February 15, 2002; and Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on January 23, 2002. He is a registered broker and investment adviser with nine US states and territories: Alaska, Arizona, California, Idaho, Maryland, Minnesota, New Mexico, Texas, and Washington.
According to his BrokerCheck report, David Hill was terminated from a former employer in connection to alleged rule violations and has received one denied customer complaint.
In July 2017 he was terminated from his position at LPL Financial following allegations he violated firm policy regarding the exercise of discretionary power in customer accounts.
In 2007 a customer alleged David Travis, while employed at Edward Jones, executed an unauthorized sale. The customer sought more than $5,200 in damages in the complaint, which was denied.
If you or someone you know has complaints regarding David Hill, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.