How JustAnswer Works:
  • Ask an Expert
    Experts are full of valuable knowledge and are ready to help with any question. Credentials confirmed by a Fortune 500 verification firm.
  • Get a Professional Answer
    Via email, text message, or notification as you wait on our site.
    Ask follow up questions if you need to.
  • 100% Satisfaction Guarantee
    Rate the answer you receive.
Ask Megan C Your Own Question
Megan C
Megan C , Certified Public Accountant (CPA)
Category: Finance
Satisfied Customers: 16539
Experience:  Licensed CPA, CFE, CMA, CGMA who teaches accounting courses at Master's Level
23669918
Type Your Finance Question Here...
Megan C is online now
A new question is answered every 9 seconds

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: 2 years ago.
Category: Finance
Expert:  Megan C replied 2 years 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 :

http:[email protected][email protected][email protected]/documents/appsupportdocs/p005314.pdf

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 and other Finance Specialists are ready to help you
Expert:  Megan C replied 2 years 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