FINRA Required?
Mar 13, 2018 11:50 pm
If I am hired as an office assistant for an investment firm, do I still have to undergo a FINRA background check? I am not an advisor or broker. Just performing clerical duties....
Thanks!
Mar 16, 2018 3:22 am
I believe if you're not required to be licensed, then no. But the firm may still conduct their own credit/criminal background checks, especially if you're in a cash handling position.
Source URL:https://www.wealthmanagement.com/forums/rookies-trainees/finra-required