Do CRD/U4/U5 Comments Matter After Licenses Expire?

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Apr 10, 2011 3:12 pm

Hello to all here:

I wanted to see if anyone here could answer this question for me: If you're Series 6 and 63 licenses have expired ( 3 years ago to be exact) and you had a negative mark on your U5, does this matter if you are offered a job in banking that does not require FINRA licenses? After I was terminated from my last job in banking in 2008, my licenses subsequently expired that same year and I have been working out of the industry ever since. I have now been offered a job at an investment bank in the Operations division, the job does not require licenses nor is it FINRA related but I'm not sure if they will still check my U4/U5? Can anyone shed any light on this for me?? "/