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
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