EK
Eric C. Kuby
NORTH STAR INVESTMENT MANAGEMENT
Chicago, IL 60606-2902
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CRD#: 1203246
EK
Professional summary
Eric Charles Kuby is a registered financial advisor currently at NORTH STAR INVESTMENT MANAGEMENT CORPORATION located in Chicago, Illinois.
Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Eric has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 15, Series 7, Series 5, Series 3 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)KUBY GOTTLIEB INVESTMENTS~INVESTMENT RELATED~20 N. WACKER DRIVE, #1416, CHICAGO, IL 60606~PARTNERSHIP~50% OWNER~SEPTEMBER 1997~2HRS PER MONTH~2HRS PER MONTH DURING MARKET~ADMINISTRATIVE - - - - - - - - - - - 2)NORTH STAR FINANCIAL SERVICES~INVESTMENT RELATED~20 N. WACKER DRIVE, #1416, CHICAGO, IL 60606~HOLDING COMPANY~PRESIDENT~SEPTEMBER 2004~2HRS PER MONTH~2HRS PER MONTH DURING MARKET~REVIEW DOCUMENTS - - - - - - - - - - - 3)REGAL INVESTMENT ADVISORS LLC~INVESTMENT RELATED~2687 44TH STREET, SE, KENTWOOD, MI 49512~RIA~INVESTMENT COMMITTEE MEMBER~MARCH 2016~2HRS PER MONTH~2HRS PER MONTH DURING MARKET~ATTEND MEETINGS-------------5) NEWEDGE SECURITIES, INC.; INVESTMENT-RELATED; 1251 WATERFRONT PLACE, SUITE 510, PITTSBURGH, PA 15222; REGISTERED BROKER DEALER; REGISTERED REPRESENTATIVE; NOVEMBER 2016.; 10-20 HOURS/MONTH; 15 HOURS/MONTH DURING TRADING HOURS; INVESTMENT SERVICES.
CRS (Client Relationship Summary) - RIA
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Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 22, 2004 - Present
NORTH STAR INVESTMENT MANAGEMENT CORPORATION
Office #1: 20 N. Wacker Drive Suite 1416, Chicago, IL 60606-2902RIA
CRD#: 117681
Chicago, IL
Past
October 22, 2016 - December 2, 2021
NEWEDGE SECURITIES, LLC
BD
CRD#: 10674
CHICAGO, IL
Past
September 17, 2004 - October 22, 2016
NORTH STAR INVESTMENT SERVICES, INC.
BD
CRD#: 7984
CHICAGO, IL
Past
August 5, 2000 - October 4, 2004
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHICAGO, IL
Past
August 5, 2000 - October 4, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
May 23, 1997 - August 5, 2000
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
April 19, 1993 - June 12, 1997
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
January 15, 1990 - May 5, 1993
RODMAN & RENSHAW INC.
BD
CRD#: 724
CHICAGO, IL
Past
January 28, 1986 - January 24, 1990
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
December 21, 1983 - March 26, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NS
NORTH STAR INVESTMENT MANAGEMENT CORPORATION
GOTTLIEB INVESTMENT MANAGEMENT CORPORATION | NORTH STAR INVESTMENT MANAGEMENT CORPORATION | NORTH STAR FINANCIAL SERVICES CORP. | KUBY GOTTLIEB INVESTMENT ADVISORS, LTD.
CRD#: 117681 / SEC#: 801-62013
RIA
Registered Investment Advisory firm - (4/28/2003 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Illinois(9/22/2004)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 2/8/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 11/11/1983
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Current Firm
NS
NORTH STAR INVESTMENT MANAGEMENT CORPORATION
GOTTLIEB INVESTMENT MANAGEMENT CORPORATION | NORTH STAR INVESTMENT MANAGEMENT CORPORATION | NORTH STAR FINANCIAL SERVICES CORP. | KUBY GOTTLIEB INVESTMENT ADVISORS, LTD.
CRD#: 117681 / SEC#: 801-62013
RIA
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Contact information
Main Address
20 N. Wacker Drive Suite 1416, Chicago, IL 60606-2902
Mailing Address
Phone number
(312) 580-0900
Established
Firm type
Fiscal year end
# of Employees
29
SEC notice filing (31 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,532 |
| AUM (Assets Under Management) | $ 2,280,660,353 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/21/2024 | ||
| 08/28/2023 | ||
| 09/27/2022 |
Red Flags
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Company Information
NORTH STAR INVESTMENT MANAGEMENT CORPORATION
CRD#: 117681Chicago, IL 60606-2902TRUST BUT VERIFY
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Contact information
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