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