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As a Juvenile (16 years old) I got in trouble for shoplifting, burglary and conspiracy all at once (These were all misdemeanors)

Auburn, CA |

I had my record sealed, did a Department of Justice (LiveScan) background check and my record was completely clear. Nothing was found! Although this was very exciting, I am nervous that even with those adjudications cleared, I won't be able to get licensed in different areas of Finance. I have a few career paths, which all require licensing. I am currently looking into getting a few securities licenses through FINRA and am trying to figure out if they will approve my U-4 or not. Not sure if I should disclose these priors or not since it's clear from DOJ and I've heard many times that I can say no to applications for licenses. Here is the link to FINRA's application: http://www.finra.org/web/groups/industry/@ip/@comp/@regis/documents/appsupportdocs/p015112.pdf

Thanks so much!!!

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Attorney answers 2

Posted

I'm not sure what your question is or what you need answers to, or if your post is just your thoughts and asking if someone agrees with you. If you have questions about licensing, the number one attorney to consult on professional licensing issues is Christine C. McCall in Pasadena. Retain her, pay her. She is worth her weight in gold.

Asker

Posted

My question is do I need to disclose my adjudications when going to get my FINRA licenses based on the application (form U-4) and also will I be able to get my licenses?

Posted

I agree with Attorney Hill, I am confused as to the question, being asked.

Asker

Posted

My question is do I need to disclose my adjudications when going to get my FINRA licenses based on the application (form U-4) and also will I be able to get my licenses?

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