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Expunged Felony DUI over 10 Years Old

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Oct 26, 2015 12:00 pm

Hi All,

I am new to the board but have been reading some posts and I feel there are quite a few knowledgeable people on this forum that can help answer my questions.

I'll keep this as short as I can. Between 2002 and 2004 I began suffering severe depression and panic attacks brought on by many changes in my life all happening at once. Like so many others, I began self medicating with alcohol, definitely not the right thing to do and not a cure either. Anyhow, I accumulated 4 DUIs during this timeframe as I was in self destruct mode and could not break the cycle. Heck, at the time I was so far gone mentally I didn't even see a cycle or care to break it. It was a very dark time to say the least. 

Per state law, I was convicted of one felony DUI in 2004. Also, due to being in college and having little money to begin with, I could not handle all the bill, court costs and fines associated with what my mental state and self destructive behavior led to. In May of 2006 I had to declare bankruptcy. 

In the last 8-10 years since my troubles, I have sought help, have been sober since July 2005 and have repaired my credit to good status. I did a complete 180 from where I was and have worked hard to get where I am now. I finished my BS in Accounting and also my MS in Finance. Over the years I have worked in the corporate world as a Financial Analyst and have received numerous promotions and accolades. Now I am going for my dream job, becoming a financial advisor. 

I'm currently 3/4 of the way through the interview process at a firm. As soon as I could I disclosed to them my past. I would rather tell them than have them find out. I also believe being up front and honest is the best way to go, they will find out anyways. I am also answering questions from Compliance at the same time. All of the advisors I've spoke with and recruiter at the firm are pulling for me but there is not much they can do at this point. It is all in the hands of Compliance. 

All of the DUIs I was able to get expunged, including the felony and my bankruptcy has been discharged. I've done the best I can to pick up the pieces of my past. I know I'm facing an uphill battle with Compliance. My questions are 1. Do I have a fighting chance to become an advisor? 2. Has anyone heard of another advisor or know another advisor who was accepted with any sort of a similar past? Any insight is much appreciated. Thank You.