ANDRE BASTIEN is currently employed as a Broker and/or Investment Adviser at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located at 28 Malvern Ave, Cranston, RI, 02905.

ANDRE BASTIEN has worked at MUTUAL OF OMAHA INVESTOR SERVICES, INC. since November 28, 2016

Disclosure History

ANDRE BASTIEN has 3 Disclosure Event(s).

Date: March 30, 2011
Category: Criminal

Date: February 13, 1998
Category: Criminal
Charges: Mal Destruction of Property
Disposition: Convicted
Broker Comment: My ex-girlfriend from the 1996 incident came to my house to confront me after we had not had any contact since the original incident. I was charged with Mal Destruction of property which violated my probation.

Date: September 06, 1996
Category: Criminal
Charges: Assault And Battery
Disposition: Was placed on probation for 2 years

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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