Eric Kubiak Permitted to Resign from Ameriprise Financial Services
Eric Kubiak (CRD #: 4637674), a broker formerly registered with Ameriprise Financial Services, resigned from that firm, according to his BrokerCheck record, accessed on May 9, 2023. Read on if you have questions about his alleged conduct as a broker.
Resignation from Ameriprise Financial Services
On March 21, 2023, Eric Kubiak was permitted to resign from Ameriprise Financial Services while allegedly under review for a potential undisclosed outside business activity.
FINRA Rule 3270
FINRA Rule 3270 requires brokers to seek and receive approval from their firm for any outside business activities they engage in.
Other Business Activities
Eric Kubiak’s detailed BrokerCheck report currently lists one outside business activity: he is the owner of and a partner at Kubiak & Associates, a consulting firm.
Eric Kubiak has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
He previously worked for Ameriprise Financial Services (CRD#:6363).
Kurta Law Can Help
If you worked with Eric Kubiak and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.