Comments (6)

Aug 13, 2019

He's no longer in the industry.

Aug 13, 2019

So, any Finra member that's not currently licensed will be in broker check w their registration history. The only difference is that it does not appear as blue (it's grey) in the search function. Additionally, it displays "Previously registered broker" where the current firm is displayed for a registered individual.

Aug 13, 2019

If he worked in Asia his whole career, he probably didn't need to take the Series 7. The non-US analysts in my class skipped the Series exams entirely.

    • 1
Aug 15, 2019

I think he started working in London - SB thx

Aug 21, 2019

This was correct

Aug 13, 2019