Skip navigation

Any have a background check done on them?

or Register to post new content in the forum

17 RepliesJump to last post



  • 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.
Nov 7, 2005 3:03 pm

hello, My job requiers a background check…what do they check/> thaks!

Nov 7, 2005 3:16 pm

Criminal record, credit history, etc.

Nov 7, 2005 4:12 pm

Drug test, fingerprints, criminal record, financial record.  You are handling people’s money.  You should be top notch.

Nov 7, 2005 5:06 pm

I can attest that many placements from my end have fallen through simply because of the credit/financial history.  Many FAs have gone through the entire process saying “nope, nothing on my criminal or credit background that will stop this”, only to find out they have mulitple bankruptcies.  Ouch.

Nov 8, 2005 5:35 pm

You can call the local police to find out if you have anything on your record. Sometimes one can have things like DUI removed after a year or two. Depending on the agreement during court. Of course the only way I know this is my mother is a LAWYER.

Nov 8, 2005 8:13 pm

how long does it usually take?

Nov 8, 2005 8:24 pm

Wait a minute, why are we helping this kid?  Why are we helping someone trying to go around the system.  It would be different if we understood the situation, but we know nothing.  What he did and why he did it.  Why he wants to be a Financial Advisor.  Should we be helping him before we know this?  Personally, I don’t want bankrupt criminals in our profession.

Nov 8, 2005 8:55 pm am i trying to go around the system..personally im young and never been bankrupt thank you very much, i just wanna know how long it

Nov 8, 2005 11:38 pm

I was in a similar situation with questions like this. Perfect track record, but one gets a bit nervous if they had a DUI or getting caught stealing candy when your 16.

Now if you have something they will find out.

Nov 9, 2005 6:30 pm

Any1 know how long it should take?

Nov 9, 2005 8:44 pm

[quote=swisskid]Any1 know how long it should take?[/quote]

I'm aware of a recent situation where the results took better than three months to get back to the firm. By the time the "news" (it wasn't news to the trainee, it was only news that he would get caught) of his conviction on drug sales came back he'd already taken and passed the Series 7.

Nov 11, 2005 5:35 pm

So, swiss kid, enlighten us.  Why do you want to be a financial advisor?  That is what you should be telling us, not asking advice about things in your past.

Nov 11, 2005 8:14 pm

This kid I know has something he wouldn’t tell me about expunged from
his record. I told him not to worry about this on his background check
given that expunged means gone correct? Just wondering if this was
right. Not disclosing in regard to anything expunged is ok, right.

Nov 12, 2005 12:42 am

If you are a registered sex offender, you will not be able to set up 529 plans for your clients’ children. 

Nov 13, 2005 1:12 am

Scorpio:If you are a registered sex offender, you will not be able to set up 529 plans for your clients' children. 


Maybe not a "529 plan", but I've got a special "357 Magnum Plan" for registered sex offenders. 

Nov 13, 2005 3:13 pm

If your a sex offender make sure you have a picture like Delay on the website.. Big smile..

If you know a police officer you could also call them to see what is on your record. Good info rrbd.. If you have something they will find out.

Nov 14, 2005 2:12 pm

Oh, Doberman I like that one.

You have to want to help people and not just make a bunch of money off people.  There are times when you will fail.  But, you have to be willing to work very hard and give your best.  At the end of the day, that is it.