Eric Kubiak Permitted to Resign from Ameriprise Financial Services

Eric Kubiak (CRD #: 4637674) has been barred by FINRA, according to his BrokerCheck record, accessed on August 1, 2025. Read on if you have questions about his alleged conduct as a broker.

FINRA Bar 

On December 14, 2023, Eric Kubiak entered into an Acceptance, Waiver, and Consent agreement (AWC) with FINRA, in which he consented to the findings that he refused to provide documents and information requested by FINRA in connection with its investigation into his potential involvement in undisclosed outside business activitities, including those potentially related to crypto assets. 

By entering into this AWC, Eric Kubiak has consented to a FINRA bar. 

FINRA Rule 8210

FINRA Rule 8210 requires members to supply records, information, and testimony upon request by FINRA.

FINRA Rule 3270

FINRA Rule 3270 requires brokers to seek and receive approval from their firm for any outside business activities they engage in.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

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.

Other Business Activities

Eric Kubiak’s detailed BrokerCheck report currently lists one outside business activity: e His 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.