U5 Shows Termination but nothing on Broker Check

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Apr 23, 2015 8:47 am

Long story short I (along with a few others) was let ago from the bank I worked for because I did something what my manager told me to do (and approved) that violated bank policy, it didn't involve a customer complaint, and it was not investment related. I am worried about my ability to work in the investment field because of this. My U5 shows that I was terminated and why I was however there are no disclosures showing on brokercheck. I know honesty is the best policy since I would ultimately have to give the new employer my U5 but I am wondering about what impact this will have on my job search, if anyone else has been in this position, and if there is a good way to address this with potential employers. I intend to be very straightforward about this as I am an honest person but figured I'd see if anyone had advice or info I might find useful. Thanks in advance!

Jul 8, 2015 3:30 pm

So BrokerCheck shows no termination disclosure? Would a potential employer be a broker-dealer?