Clifford Gast Permitted to Resign from Ameriprise Financial Services
Clifford Gast (CRD #: 1445784) resigned from Ameriprise Financial Services, according to his BrokerCheck record, accessed on July 13, 2022. Read on if you have questions about Clifford Gast’s conduct as a broker.
Resignation from Ameriprise Financial Services
On May 6, 2022, Clifford Gast was permitted to resign from Ameriprise Financial Services while allegedly under review for violating firm compliance policy relating to a beneficiary relationship.
FINRA Rule 2010
Many forms of unethical conduct and/or violations of firm policies also violate FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor.
Clifford Gast has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
In the past, he has worked for the following firms:
- Ameriprise Financial Services (CRD#:6363)
- Investment Professionals (CRD#:30184)
- IFMG Securities (CRD#:14416)
- Financial Securities Network (CRD#:16153)
- UR Financial (CRD#:10509)
- Pruco Securities (CRD#:5685)
Kurta Law Can Help
If you worked with Clifford Gast and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.