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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.

Background Information

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 info@kurtalawfirm.com 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. 

 

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