FINRA Required?

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Mar 13, 2018 7:50 pm

If I am hired as an office assistant for an investment firm, do I still have to undergo a FINRA background check? I am not an advisor or broker. Just performing clerical duties....


Mar 15, 2018 11:22 pm

I believe if you're not required to be licensed, then no. But the firm may still conduct their own credit/criminal background checks, especially if you're in a cash handling position.