Are all employees of an investment firm subject to FINRA?
Good Afternoon,
I have an initial interview with a large investment services company, but the position would be in the IT department. (I'm a computer network engineer). My question is: are all employees for a company subject to the FINRA statutory disqualifications? I'm asking because 7 years ago I was convicted of misdemeanor theft while in college. I know if I were a broker or somehow involved with selling or managing securities I would be disqualified, but are all employees subject to those rules? And yes, it was stupid, I learned from my mistakes and have been back on the right track. Thank-you.
Marc.