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of the book or interspersed throughout the pages, the photographs included in these texts . as ready for assimilation (Bernardin et al. 7). The juxtaposition of both these .. vations” ushered in by termination policies, especially given the location of their .. pictures attributed to James are not date-stamped (photCL ;.
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Eric in Costa Mesa, California. A question for anyone who can help me.

U5/ Brokercheck Question | Wealth Management

My firm and I parted ways with eachother a last week. I noticed it said that my exam was canceled, and I am not able to register for it again even though I paid all the necessary fees. I understand I am not sponsored anymore by my firm, but even if I paid for it does that mean I can't take it?

I was granted a waiver of the series seven examination by the New York Stock Exchange on October 21, The waiver was granted based on my experience in the Securities Industry at that time.


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I there an age limit where taking the Series Seven is no longer required and is my waiver still valid? Upload your resume Sign in. Forums are open to the public.

is my series 7 license useless now?

Content is not continuously monitored. All content is user created. If you have a complaint about any content on Indeed, please contact Customer Support. Indeed reserves the right to remove any posts which Indeed feels are not relevant to jobs and company search. Get new comments by email My Email You can cancel email alerts at anytime. Please give me some tips if my series 7 license is safe. Thank you for all of your answers guys I really appreciate it! For jobs in Russia, visit ru. Hello everyone, I hope that somebody can answer my following question as i feel very miserable at this point.

I am sorry they felt the need to put that on your permanent record.

I am more concerned about this showing up on background checks for non-securites related industries, is that realistic or is that not looked at unless it is a broker? I got the impression from the finra site that 2 years after being not registered the only things that would be there would be if i had a regulatory event filed against me, not just a termination.

I truly believe that if you are looking for work outside the securities industry and this is simply a termination not related to a criminal offense, you have nothing to worry about.


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If you are losing sleep over it, contact a securities lawyer and put the issue to bed. Its a termination for a violation of company policy. It wasnt securities related at all and there was no criminal offense at all. What I have learned, is we can go through Arbitration to try and to rid the comments. They do not care about you as a person.

Because of this unjust handling of employment disputes, I highly recommend that you and all reps join a reputable firm that cares about you. Interview them with a frenzy! Do not take the job because you are desperate. To do so, takes courage and do NOT settle for less! Good companines run by good people are out there!

Demand civil treatment of human beings! Bottom line and back to the person inquiring, if you get out of the industry, after 2 years this should not affect you. Sorry to inform you, but broker check rules have been changed and now there is no drop off after two years. All the files are back up and ready to download. If I was to receive an offer for employment from a different back that didn't require licensing, would it be in my best interest to not tell them I am licensed, and just let them expire, or is there a rule that requires me to inform them?

LBJ, always be honest. It just doesn't pay, catches up to you otherwise.

The new bank is very likely to do a pretty good background check, and if they find something of material importance that you didn't mention, that's a big problem. Worse yet, years from now, that might catch up with you. Address the issue, head on. With a prospective bank seeing that, I dont see any way they would look past it, so i feel like the only option is to not tell them about it.

I have no desire to actually use the licenses or go into the securities area of the bank so I feel like it might be best to just omit them. At my last bank, they could have fired every last one of those dang bankers over that one Well, in any event, if you apply to work at another bank, wouldn't you expect the new employer to contact your former employer? I'd suggest that you at least be prepared to discuss the event, in a way that comes across reasonable. I know a gal at my former bank, and she was terminated for some mistake. It was tough for her to get work in another bank, the reference checking was a problem.

But, eventually she got work at a local credit union. The reference checking wont be an issue, as the bank i previously worked for only gives dates of employment. Also, my old manager was upset about me being fired and will still give me a good reference, and not mention that. I do get that it is best to be honest, and I was honest in admitting I did look at someones account, and that got me fired. The only way the new bank would find out is if they pull up my u5 or go to brokercheck. I feel like once I get hired, the issue will be put to bed because the licenses will expire, and I can move on.

I don't like being dishonest either but it seems like the only option I also am curious if there is some legal issue with me not reporting my registration to a different bank? The bank I am applying to does not require licenses, so would that be an issue or is it required that I report it?

OR is that the comment that is stated on the copy of the Form U5 you received and BrokerCheck shows nothing? This disclosure is permanent. If the latter then the comment will never be accessible on BrokerCheck under current policies unless a state regulator provides the full CRD report upon an individual request e. Its definitely visible on brokercheck.

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I think the best course of action for me is to forget that I am even licensed, let it expire, and hope the bank I am going to work for doesn't look on brokercheck or pull my u5. According to finra after 10 years it wont be visible on brokercheck. I was curious about this subject.