Clifford R Gast

Clifford R Gast is currently employed as a Broker and/or Investment Adviser at INVESTMENT PROFESSIONALS, INC. located at 230 Broadway Rte 1S, Suite 205, Lynnfield, MA, 01940.

Clifford R Gast has worked at INVESTMENT PROFESSIONALS, INC. since October 01, 2007

Disclosure History

Clifford R Gast has 1 Disclosure Event(s).

Date: March 22, 2016
Category: Customer Dispute
Allegations: Poor recommendation, illiquidity
Damage Amount Requested: $7,500.00

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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