So it didn’t disqualify him from finra, but my firm no longer wanted to hire him cause they would have to have extra supervision on him for 2or 4 years or something like that.So yes your firm will see your answers. They do require the 10 years of employment, but the bank I'm working at has already verified that as part of the initial background screening process before onboarding me.New comments cannot be posted and votes cannot be castLooks like you're using new Reddit on an old browser. This secured infrastructure has processed over 7 million applicants and we …
I have coworkers who can vouch for me and the firm said that they don't disclose anything besides date of employment, but I'm somewhat worried this may somehow come up in FINRA.Is this valid or am I paranoid, especially since I haven't lied about any firms I worked at?You're fine as long as you listed your employment dates. FINRA reviews the information disclosed on the Form U4 to determine whether an applicant is subject to a “statutory disqualification” or whether the applicant otherwise presents a regulatory risk for the member firm and its customers. But you direct manager won’t, since it’s confidential info, but if you didn’t let your work know, then yeah they’ll find out.So you should wait until it’s expunged at this point so you can say you haven’t been convicted of anything on the U-4.I had a dui expunged and I was fine filling out no on those questions because that’s what my parole officer told me we could do once it’s expunged.Edit to add: also my boss would have been able to keep the guy on if only he disclosed it to him before filling out the U-4. It was because he tried to hide it is what screwed him over.From my understanding, if you get a DUI and you declare it, you have a chance of staying employed. By using our Services or clicking I agree, you agree to our use of cookies.
It is my understanding that a misdemeanor theft charge would prevent me from being able to enter this industry. Long story short, … never got brought up) but I’m not a legal expert, just employed in the industry.Charges, I believe, still have to be reported on U4.That is correct, which is kind of unfair because what if you are innocent?Felony convictions are a statutory disqualification, which means the regulations/laws say you would not be able to be associated with a BD. Press question mark to learn the rest of the keyboard shortcuts I provided my background.
It wasn't for any criminal reasons, but basically, due to a multitude of factors, they needed to downsize and I got the ax because they thought I wasn't a good fit for the job. Misdemeanors are okay unless securities related. I could be wrong and you might want to run it by a compliance expert, but I think the best course of action would be to disclose the information now rather than have FINRA and/or your company find out about it in a background check.This is an odd question but if I've passed the SIE already, is my U4 already completed? If the job wasn't a FINRA licensed job, it won't matter that you were laid off.
Just be safe and disclose everything.. even arrests that didn't lead to a charge or conviction, even stuff expunged.The job wasn't FINRA licensed, so I'm not going to have a U5 for that employer. It wasn't anything criminal or a violation of firm policy, it just wasn't the right job for me. a parking violation and 1 speeding ticket).No, I wasn't. 6 The verification requirement specifically asks that the member verify the information contained on the Form U4. Providing quick, easy, and secured online background check services with hundreds of locations nationwide. When my firm went to register me, FINRA came back asking questions about my record. The site may not work properly if you don't If you do not update your browser, we suggest you visit Press J to jump to the feed. I had a dui that was expunged and I didn’t have to declare it on my u-4. The site may not work properly if you don't If you do not update your browser, we suggest you visit Press J to jump to the feed. Even if it was a licensed job, the firm would've completed your U5 showing you didn't leave on bad terms with a termination. Just be honest and best of luck to youI could wait for it to be expunged. That’s the whole point.It WILL show up as a charge regardless FINRA WILL notify JPM. My question is, since the charge was reduced to Disorderly Conduct, is it likely that I will pass the check? Plus, looking at the U4, they just ask for dates and not anything regarding why I left.I was just vague about why I left that job and I'm wondering if my employer not knowing the full reason for me leaving could come back to haunt me if they found out. I'm starting work at a boutique IB as an M&A analyst next month, which I believe requires me to become a limited representative, fill out a U4 form, and be subject to a FINRA background check.I have already passed the firm's background check, but I'm somewhat worried because I haven't disclosed that I was laid off from a job I held a couple of years ago. If you are “convicted” it is an automatic disqualification. It’s more from a risk standpoint reps are transparent with the regulators. Hi Everyone, I'm starting work at a boutique IB as an M&A analyst next month, which I believe requires me to become a limited representative, fill out a U4 form, and be subject to a FINRA background check. My question is, I know with FINRA you have to do a background check. When you get something expunged they specifically tell you can honestly say no to questions that asked if you’ve ever been convicted, because you haven’t been if it was expunged. I don’t even think FINRA will bring it up nor will your manager if they get the results...unless they’re kind of a jerk or don’t like you.Edit: I’m seeing a lot of people say otherwise, but I’ve personally known many with issues on their record and it was never brought up.
FINRA noted that the investigation requirement is a principle-based requirement that requires members to use the resources that are necessary and lawful in order to investigate the background of an applicant. Expunged or not it will come up. About 10 years ago i was arrested and charged with 3 offenses (non securities related) I did a Pre tiral Intervention and then the charges were dismissed 1 year later.
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