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Becoming licensed through FINRA with felony
I was convicted of a felony DUI over 2 yrs ago in the state of AZ. The state does not do expungements and from what I'm hearing a set aside will not matter. I did speak with a FINRA rep in disqualifications, and she said that it ultimately is up to the hiring company if they want to hire me (filing...
Passed Series 7. Now I need a Series 66?
So having passed the Series 7 I thought I would be good to start selling securities, but apparently in my state I also need a Series 66 to sell? What jobs could I potentially perform with just the Series 7 and SIE?
PE Background Check For Series Registrations?
Do PE firms’ background checks look into your series registrations or need a u-5? Also, what if they have since expired but they were listed on your resume still? Would it not make a difference if they don’t require them not being a bank?
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