I am getting ready to start a new job where I need to sign up for my Series 6 exam. I have two compromise with creditors from years ago that I have obtained documentation for and written a statement. But now my job just told me that they also need any collections accounts and charge off statements and explanations for each. I don't see anywhere on form U4 asking me for that. I also saw unsatisfied judgments or liens on question 14- none of my collections accounts or charge offs went to court, so do I still need to disclose all of this information on my U4? Someone please explain, obviously, having to call the last 10 years worth of these accounts, most of them happened 2-3 years ago- when I lost my job.
Apr 27, 2015 9:34 pm