Pending legal action.. need help series 65 registration

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.
Oct 25, 2016 5:08 pm

I was arrested for small amount of a controlled substance in December. Ia was driving a female home from community college and was pulled over for window tints. She left the substance in the vehicle on the floor after the officer asked to search the car since it smelled slightly due to the substance, had to have been as he walked back to his vehicle because i didn't see her drop it.

I was accepted into ARD which means after 6 months probation it will be dropped completely due to the female denying the substance to be hers and I was operating the vehicle, even though it was on her side of the vehicle and i asked to be blood/urine tested and she denied. I will be off probation febuary 2nd.

I passed my series 6 in February, and 63 in March, and my licenses have been active and had no problem with registration/u4.

 I take my series 65 tomorrow and am wondering if this is will be a cause for denial or if I need to disclose it to be an Investment adviser representative. Worried that the pending small amount charge will cause for denial of registration.