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: 16544
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

This answer was rated:

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?

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 2 other Finance Specialists are ready to help you
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