Just curious if PE firms pull U5s during their background checks. The role would be for non-licensed position, so no filing with FINRA is required. Still curious if they pull that information.
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Since they’re not registered with FINRA, they can’t see anything that’s not publicly disclosed on BrokerCheck.
For example, if you were charging personal expenses on the corporate card it would show up on broker check, but if you were fired for performance it would not be on broker check even though it’s on your U5.
Thanks. But what if they are registered with IAPD https://adviserinfo.sec.gov/?
Seperate from FINRA, but curious if they have access to pull U5s still
It depends on whether the investment advisor firm is registered with FINRA. If they are, they would check your U5 to see if you did anything egregious (fraud, theft etc). You don’t have to be registered for them to check.
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