So i know i dont need a company sponsor to get my series 63 and 65 but will the bk keep from getting the lic for both of these? I know i need to be up front with the bk in which I will but I dont want to put the time into studying and paying the fees if Im going to get turned down. Anyone know?
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A BK is a FINRA issue only if there is fraud involved. BK is not a statutory disqualification.Originally posted by onejeg View PostVery fortunate in the grand scheme of things but have learned my lesson.
Filed 12/15/08, 341 1/12/09, Cont to 2/12/09, cont to 3/12/09, cont to 4/15/09, cont to 5/11/09, cont to 6/02/09. Discharged 9/16/09, Closed 10/23/09 -
i have my series 7, and was going to be getting my series 66 in Feb, told there would be no problem as far as filing for BK. The issue arises if it's fraud, and if you want to be independent (not work for a broker) you may have some issues- because of advising people how to handle money; and not handling your own finances well (or so i have heard). I work for a Bank that owns a brokerage house, and have been told not to worry about it.Filed Pro Se: 10/16/2009
341 Scheduled: 11/23/2009
Last Day for Objections: 1/22/2010
Discharged: 1/28/2010Comment
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