I am about to transfer my securities licenses, but had one civil judgment (not work- or investment-related) since I acquired the licenses. My concern is that a new background check will be performed by FINRA when I transfer the licenses and my employer could be notified, thus jeopardizing my employment. Does anyone know if a new background check is performed when you transfer your licenses or do they just go off of the results of the initial background check?
FYI, I am past the company's background check so that is not a concern at this point.
Thanks in advance for any insight.
Depends on what the suit was about, I doubt a car accident or the like should be an issue, if it was a contract issue they might care more, but it was civil so I doubt it.
Thanks for the response. It wasn't a contract issue, but it was a crazy ex making a ridiculous claim that I stole something of hers. I never had to pay anything (aside from lawyer's fees) because it was complete fabrication. Apparently not all Jerry Springer girls are from the country or ghetto.
FINRA will do a background check but as long as its not investment related you will be fine. Your company probably already knows about your judgement because most companies do FBI background checks and if they are fine with it, then you wont have a problem.
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