| Topic Name: |
Securities Industry (U4, U5, CRD, etc.) |
| Message Name: |
u4 |
| Date Posted: |
08/30/2004 |
| In Reply To: |
When changing firms as a Series 7 Registered Rep., what types of things do the hiring firms see when check the Broker CRD? Do they see all previous U4s? Do they see all previous U5s or do they just get the U5 from the most recent firm? When do they see the U5s?
I've read some horror stories about things not matching up as far as dates are concernced. Everything on my resume is good and honest, but it seems the NASD and U4 always screw dates up because they don't allow any "gaps".
Anyone who works HR in the brokerage industry know? |
| Message: |
go to www.nasdr.com and sign in as an investor requesting info on a broker. Type in your info requested and you will see what an employer sees, except for any disclosures.
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