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Blemish on U5, where can I work?

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Sep 29, 2008 2:48 pm

I have a "non-securities" issue on my U5.  What corporations or indipendent wire houses are most lenient regarding U5 issues?

Sep 29, 2008 4:53 pm

What’s your issue and how successful were you?  A tiny blemish and gigantic production will get you hired almost anywhere.  Sleeping with the BOM’s 14 year daughter and a $1.13 trailing 12 will stop everyone from hiring you.  

Sep 29, 2008 6:50 pm

I had just broke into the business with little to no production.  My U5 states “Termination due to Non-Securities related issue: Mis-management of personal finance and mis-use of corporate credit card”.  I basically had a negative balance in my checking account and used a credit card that was in my name and under my social security number for two personal transactions which I paid for.  The credit card thing is a joke…it was tied to an online expense system which allowed you to state the use, from taking a potential client out to eat to overnight hotel stay…and it had a personal catagory!  I used it for personal reasons and it shows up on my U5!