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Megan C
Megan C, Certified Public Accountant (CPA)
Category: Finance
Satisfied Customers: 14417
Experience:  Licensed CPA, CFE, CMA, CGMA who teaches accounting courses at Master's Level
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I am currently with a company that is sponsoring me to take

Resolved Question:

I am currently with a company that is sponsoring me to take my series 6 exam and get licensed. I have a discharged Chapter 7 Bankruptcy due to medical bills and also two misdemeanors. The first misdemeanor was a DUI from over 2 years ago and also a driving while suspended from over two years ago. Will I be able to get my series 6 and get registered with FINRA?
Submitted: 11 months ago.
Category: Finance
Expert:  Megan C replied 11 months ago.

Megan C :

Thank you for your question, and thanks for using JustAnswer.com

Megan C :

How are you today?

Megan C :

According to FINRA, statutory disqualifications include certain misdemeanors. It does not include bankruptcy, so your bankruptcy will not impact your ability to get a license.

Customer:

Ok, with your experience will alchohol related misdemeanor effect me to much?

Customer:

misdemeanors*

Megan C :

I'm looking at Chapter 13, Disclosures and the following are not reportable (meaning you don't have to disclose them)

Megan C :

Includes driving while intoxicated

Customer:

perfect, so I should not have an issue getting approved?

Megan C :

So, you should be good to go. The misdemeanors that would disqualify you would be like theft, fraud, larceny, etc

Customer:

awesome. I appreciate your responses

Customer:

thanks!

Megan C :

Page 13-4

Megan C :

You can read it with your own eyes from the FINRA website :-)

Customer:

thank you so much. That is very helpful

Customer:

you have cleared all my worries

Megan C :

You're welcome!

Megan C :

Glad I could help!

Megan C :

Is there anything else you need assistance with today?

Megan C :

If not, please rate as "excellent" so that I may receive credit for assisting you today

Customer:

yep I will definitely rate excellent.

Customer:

have a good day

Megan C, Certified Public Accountant (CPA)
Category: Finance
Satisfied Customers: 14417
Experience: Licensed CPA, CFE, CMA, CGMA who teaches accounting courses at Master's Level
Megan C and 2 other Finance Specialists are ready to help you
Expert:  Megan C replied 11 months ago.
Thanks, Zach for your positive rating. Please come back and visit me for any of your tax, finance, or social security needs. It was a pleasure working with you today

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