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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.

Background Information

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 info@kurtalawfirm.com 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. 

 

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