Ameriprise Financial Services Fires Firasat Siddiqui
Firasat Siddiqui (CRD #:2194860), a formerly registered broker, was recently fired by Ameriprise Financial Services according to his BrokerCheck record, accessed on March 19, 2022.
On January 14, 2022, Ameriprise Financial Services fired Firasat Siddiqui after allegedly violating company policies related to exchange-traded products, mismarking trade tickets, and failing to uphold disclosure requirements.
FINRA 4511 requires brokers to keep accurate books and records. Mismarking trades violates FINRA 4511.
Exchange-traded products can be higher-risk depending on their underlying securities.
Firasat Siddiqui has passed the following exams:
- Series 65 – Uniform Investment Adviser Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
Besides Ameriprise Financial Services, he has also worked with IDS Life Insurance Company (CRD#:6321).
Kurta Law Can Help
If you have been victimized after working with Firasat Siddiqui, don’t hesitate to contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors 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.