Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DOUGLAS CHARLES GAST
CRD#: 218603
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 8027 Forsyth Blvd
Suite 1010
Clayton, MO 63105
Registration History
1970197519801985199019952000200520102015202020252 FIRMS2009 - Present (16 years)BOPPENHEIMER & CO. INC. (CRD# 249)1990 - 2009 (18 years)BB.C. CHRISTOPHER SECURITIES CO. (CRD# 60)1989 - 1990 (<1 year)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1988 - 1989 (1 year)BR. ROWLAND & CO., INCORPORATED (CRD# 911)1977 - 1988 (10 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 572)1970 - 1977 (7 years)IAOPPENHEIMER & CO. INC. (CRD# 249)2004 - 2009 (4 years)
Disclosure(s)
View By:
7/1/1985
Customer Dispute
Award / Judgment
7/1/1985
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 1/20/2009
B
Michigan 3/31/2016
B
Arizona 3/26/2013
B
Missouri 1/20/2009
B
Florida 2/3/2009
IA
Missouri 1/20/2009
B
Illinois 1/20/2009
B
New Jersey 7/30/2009
B
Kansas 1/10/2012
B
Texas 1/20/2009

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
8027 Forsyth Blvd Suite 1010, Clayton, MO 63105
ARCADIA, MI
Registered with this firm since 1/20/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
8027 Forsyth Blvd Suite 1010, Clayton, MO 63105
ARCADIA, MI
Registered with this firm since 1/20/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/26/2004 - 01/20/2009 OPPENHEIMER & CO. INC. (CRD#:249) ST. LOUIS, MO
B
 03/23/1990 - 01/20/2009 OPPENHEIMER & CO. INC. (CRD#:249) ST. LOUIS, MO
B
 05/04/1989 - 03/23/1990 B.C. CHRISTOPHER SECURITIES CO. (CRD#:60)
FINRA expelled the firm on 02/16/1993
KANSAS CITY, MO
B
 01/27/1988 - 05/04/1989 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059)
B
 05/23/1977 - 01/25/1988 R. ROWLAND & CO., INCORPORATED (CRD#:911)
B
 06/25/1970 - 07/09/1977 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (CRD#:572)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.