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Will I be denied to take Series 7, if I have a past conviction of 'misdemeanor of disorderly conduct' that is expunged?

New York, NY |

I was convicted of 'midemeanor of disorderly conduct' over 10 years ago, and that charge was expunged over 7 years ago. I currently work at an investment bank and the fact that my background check came clean means nothing came up on my criminal background check. However, I am asked to take the Series & (not mandatory) which will help my career. I would like to take it without my investment bank knowing about my prior conviction. Please advise.

I was convicted in the state of New Jersey and I work as a middle office analyst (project management) at an investment bank in NYC (since past 3 years). I spoke to FINRA (that governs the Series 7 exam) today, and they stated that if the conviction was 10 years ago, and the misdemeanor was expunged thereafter then it will not show up when they run the fingerprints.

Attorney Answers 4


  1. Best answer

    You should consult a NJ attorney since, as the other attorneys point out, the law differs in NY. You should also consult the licensing authority in your field to see if you are pre-empted from the Series 7 license/certification if you have such a conviction.

    If you found this "helpful" or "best answer," please click it with my appreciation. My response is for educational purposes and does not constitute legal advice nor creates an attorney client relationship which requires all the details and a personal conference.


  2. This did not happen in NY so re-post wherever it occurred and also add employment. There is no misdemeanor disorderly conduct in NY, nor is there expungement in NY.

    Joseph A. Lo Piccolo, Esq.
    Immediate Past President, Criminal Courts Bar Association 11'-12'
    Hession Bekoff & Lo Piccolo
    1103 Stewart Ave, Suite 200
    Garden City, NY 11530
    516-408-3666 (o) / 516-408-3833 (f)
    Jlopiccolo@hbclaw.net

    I am a criminal defense attorney practicing in Nassau, Suffolk and New York City. The above information is not a substitution for a meeting whereas all potential legal issues can be discussed.


  3. In New York Disorderly Conduct is a violation, not a crime. New York does not exunge.

    I am a former federal and State prosecutor and now handle criminal defense and personal injury/civil rights cases. Feel free to check out my web site and contact me at (212) 577-9797 or via email at Eric@RothsteinLawNY.com. I was named to the Super Lawyers list as one of the top attorneys in New York for 2012. No more than 5 percent of the lawyers in the state are selected by Super Lawyers. The above answer is for informational purposes only and not meant as legal advice.

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