U-5 Question

or Register to post new content in the forum

 

Comments

  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Oct 6, 2006 9:51 am

Quick question: does a prospective employer see all of your past U-5 comments, or just the comments from the MOST RECENT firm to hold your licenses?


In short, I've got a discouraging U-5 notation from my previous employer...once and if I get another firm to hold my licenses, do I have to worry about that nasty notation coming back to haunt me afterwards if I ever chose to change again?


Thanks for the input.

Oct 6, 2006 9:56 am

They're all there--part of your permanent record.

Oct 6, 2006 9:57 am

If the comments are not true you should contact the manager who put them on there and get them changed.


If they are true you should try to figure out how to explain them.


What has been said?

Oct 6, 2006 10:00 am
Soon 2 B Gone:

They're all there--part of your permanent record.


Why is it that on my copy of my current U-5...I don't see anything from my previous employers then? I only see the notation from my last one.

Oct 6, 2006 10:03 am
CMe4IRA:
Soon 2 B Gone:

They're all there--part of your permanent record.


Why is it that on my copy of my current U-5...I don't see anything from my previous employers then? I only see the notation from my last one.



Because you have a slip of paper.  Potential employers get your CRD report--everything ever said about you.


What was said about you?