Hello everyone-
I have applied at a financial institution for a Financial Advisor position and have spoken to one HR person who worked there. She informed me that when they do the Criminal Background Check for the U-4 with the SEC/NASD they only check back for the last 10 years. Does anyone know the specifics on this.
I was charged with a felony but got a Noli Prosqui, which basically got it off my records and I was never convicted but the charge itself I know is the only thing that can bar you from getting the security clearance for the U-4...which is forgery. I am praying it doesn't come up.
I do believe it goes back to when you left high school, whenever that was, NO GAPS. |
