Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Gast is a financial advisor registered with UBS Financial Services Inc. Douglas has been in the financial industry since June 25, 1970 and holds several licenses and certifications including Series 7, 63, 65, 24, 4, 10, 9, 40, 41, and 5. Douglas has worked for several firms throughout their career including B.C. Christopher Securities Co., Merrill Lynch, Pierce, Fenner & Smith, Inc., R. Rowland & Co., Incorporated, Smith Barney, Harris Upham & Co., Incorporated and Oppenheimer & Co. Inc.. Douglas is licensed in Alabama, Arizona, Florida, Illinois, Kansas, Michigan, Missouri, New Jersey, and Texas.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
MI
01/20/2009 - Present
UBS Financial Services Inc. (ARCADIA MI)
MO
03/23/1990 - 01/20/2009
OPPENHEIMER & CO. INC. (ST. LOUIS MO)
MO
05/04/1989 - 03/23/1990
B.C. CHRISTOPHER SECURITIES CO. (KANSAS CITY MO)
NA
01/27/1988 - 05/04/1989
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
05/23/1977 - 01/25/1988
R. ROWLAND & CO., INCORPORATED
NA
06/25/1970 - 07/09/1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 03/19/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/11/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/20/1980
Series 4 - Registered Options Principal Examination
BC
Issued 04/08/1978
Series 40 - Registered Principal Examination
BC
Issued 10/06/1977
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/1985
Series 41 - NYSE Allied Member Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 06/23/1970
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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