Brokercheck/Form U4/Form U5
I was recently terminated from a financial institution where my Series 6 was held. I was not in a registered role however they were holding my license. I’m in the process of transitioning to a new financial institution where I will, again, be in a role that does not require registration therefore I will not be transferring my licenses over. Since I am not signing a U4 and/or transferring my licenses over will the new institution be able to view the information on my CRD/U5? Any insight is appreciated. Thanks
Cupiditate voluptatem voluptatum placeat. Inventore voluptates eveniet sunt ratione porro. Debitis tempora voluptatibus nostrum sequi doloribus labore suscipit.
See All Comments - 100% Free
WSO depends on everyone being able to pitch in when they know something. Unlock with your email and get bonus: 6 financial modeling lessons free ($199 value)
or Unlock with your social account...