Skip navigation

U5 Shows Termination but nothing on Broker Check

or Register to post new content in the forum



  • 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.
Apr 23, 2015 12:47 pm

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 7:30 pm

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