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JS,JD, Attorney
Category: Business Law
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Experience:  35 years' experience providing effective legal advice to profit-driven businesses.
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On the Form U4 for Securities it asks to give 10 years of employment

Customer Question

On the Form U4 for Securities it asks to give 10 years of employment history relating to school,part time and full time work.

10 years ago I was in school as a student at college but also had a part time job. I remember the name and location of the job but I do not remember the exact month of the year.

There is no way for me to find out this information or know it...what is the best answer in this situation. Obviously I will put down my schooling information and I will put downt the part time job and I will put down the city and state and etc...but I can remember closely the date...but I can't guarantee its 100% accurate b/c there is no way for me to find this information plus it was almost 10 years memory is not the best.

Submitted: 5 years ago.
Category: Business Law
Expert:  JS,JD replied 5 years ago.
Greetings. It doesn't matter that you can't recall exactly. In the appropriate chronological slot in the employment history, put down "Full-time student at ___ U." and give dates for that. In the following slot, write down information about your part-time job. Be careful to save space to write "(answer continued on the attachment sheet") - the attachment sheet is page 11 in my version of the form. Then go to the attachment sheet and write the question number and write that you cannot recall the exact dates that you held the part-time job, and explain why you can't find out by calling your former employer (e.g., company no longer in business). State that while you do retain records of your personal employment, you don't keep them longer than the three years that is the IRS requirement for most purposes. Finally, state approximate dates of your employment. You should have no problem. If this has satisfactorily answered your question, please click on Accept and provide any appropriate Feedback. Good luck!
Customer: replied 5 years ago.

Thanks for the response...actually I have already filled out the form and filled it...I put down the dates to the VERY BEST of my honest memory.


So that being said the form is already filed but I should be ok...since I answered it to my best honest ability correct.


Just fyi...the form also has the exact dates of my employment now which is correct.


Its just the part time job almost 10 years ago that I can't 100% verify.


So long story short I am ok?....Correct?


Thanks and I will accept upon clarification.

Expert:  JS,JD replied 5 years ago.
Yes, you're OK. Even if you didn't write on the attachment sheet (or the question slot itself) the explanation that I suggested, you're still OK if you answered honestly. If you are ever questioned about it, just tell them the reason(s) you can't get the historical information about the part-time job. You'll be fine.
JS,JD, Attorney
Category: Business Law
Satisfied Customers: 70
Experience: 35 years' experience providing effective legal advice to profit-driven businesses.
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Customer: replied 5 years ago.

I just had one quick follow up...I don't think this changes your answer but I wanted to be detailed with why I asked the above question.


The reason I asked the original question is b/c I recently changed positions and I was looking at my form U4 which had been filled out years ago and noticed the typo in the start date in my employment history. Being the detailed person that I am I filled out and admendment right away to correct the typo upon my first dicovery as I am suppose to do.


In the process of correcting the typo is were I realized I did not have a way of finding out the exact dates.


I just wanted to give you more insight and a more detailed picture of why I asked the question.


Does this change your advice?...Thanks

Expert:  JS,JD replied 5 years ago.
It doesn't change my view. Again, in the even that the authorities ever questioned your dates, you should just explain the matter as you have explained it to me, including the explanation of why you were unable to find the exact P/T dates. Good luck.
Customer: replied 5 years ago.
I wanted to ask a quick follow up. Also on the Form U4 it ask for Residence history over the past 10 years. When I was in college I kept my mailing address/ drivers license , mail and all important documents sent and mailed to my home address were I stayed and lived with my parents some during the week. For example I might would stay there every weekend or one night during the week. The other times I lived in various dorms rooms / appartments / houses with many college kids. I never received mail or called any of these places my residence. I always had my drivers license and other major documents or bills sent to what I would call my permanet residence my parents house. So on the form U4 when it ask for residence address the honest answer in my opinion would always be my address that I kept on file at the time which was my parents home and address again I used this address for every important document and stay there during weekends, holiday and etc. Not only that but there is no way I can recall or even come close to knowing the address, or suite numbers of dorm rooms over 12 years ago. So the correct answer to residence address would be m parents home which all my documents went to correct? Thanks

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