Will I be able to take the financial advising exams if I received a DUI Misdemeanor while I was in college?
I have no prior record, but received a DUI Misdemeanor while I was in college. Will I be able to sit for the Series 7, 66, etc. exams? ...
I have no prior record, but received a DUI Misdemeanor while I was in college. Will I be able to sit for the Series 7, 66, etc. exams?
If I remember my 63/66 correctly, i think a misdemeanor is OK. check out the NASD website. I don't remember exactly….. Just always disclose, be honest, and accurate on all your licensing stuff.
Yes. DUI doesn't not effect your eligibility for becoming a Security Agent or an Investment Adviser Representative.
Best wishes.
When you get registered with a broker,they do a background check,credit check and fingerprinting.They usually have questions about misdemeanor charges on their application.Do not hide anything,they will see it in the report afterwards.Be honest…we are all human…no one is perfect…we all make mistakes,especially in college.All you have to do is provide them with a detailed explanation of what exactly happened and how the issue got resolved in court.Make it short and include the facts.They might want you to make a copy of the police report and a certified court copy.Then it just stays in your file.Do not get discouraged! Good luck!