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| *Ostroff, Fair and Company>>>Financial Services |
SEC/NASD U-4 Criminal Background Check? |
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. you have to list 10yrs worth of past jobs and addresses. but you must ABSOLUTELY disclose any criminal issue. people get fired from jobs in financial services for not disclosing a dui or lying about a degree, much less being charged w/ a felony. do you want to get the job and love it and then get the boot because you lied by omission? then you have the dismissal (and reason) on your U5! the point of your U4 is to honestly disclose everything. you get the opportunity to get into specifics (i.e. you were not convicted, maybe you were young when it happened). make sure you get into extenuating circumstances because it WILL come up if you try and avoid it or fail to disclose. the lying is what will close doors, not necessarily your past... You can try http://www.peopledetective.net or http://www.peoplefind.net |
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