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will do, thanks!

Well i got a call back from someone I know that works at a top 10 firm, and they called their head of Recruiting/HR department who affirmativley said that on THEIR own application, to put NO because it has been expunged, and that they have run into many situations like this before. So theres...

thats what i thought when i originally got it expunged... and if i were to apply at any non regulated industry, i would be fine.... but anything as regulated and tied into the government as the SEC, or a state insurance department, sees all! I'm going to call the CRD today and see what...

If i could find one that is specialized in this area.... I just called a local NASD office, and the guy said because it was reduced to a misdemeanor at one point and also expunged, and that it had nothing to do with anything fiduciary, they wouldnt ask for special supervisionary circumstances...

That is true, its expunged, no longer exists... that works if I were to apply at any other job... but Government agencies, and I'm assuming the NASD will find records... I realize its better not to lie, and to disclose the information.... I feel through asking questions that i could get approved...

I found this at the NYSE website: http://www.nyse.com/pdfs/01-234.pdf if you read teh footnote on the very last page, it says that if this person had his conviction expunged he would be able to reduce his statutory 10 year requirement that is set forth in the act of 1934.... so i my have a...

For sure the NYSE wouldnt allow me to trade with them? even with an expungement? Are you saying I'm doomed?

I guess no one really has a clear cut answer, i was hoping i could find someone that went through the wringer.... It may be damn near impossible to get a firm to hire me... but I need to get approved first (after passing the series 7 of course). The 1934 exchange act saying 10 years thing...

Does the 1934 Act of the SEC have anything to do with me becoming a registered rep of the NASD? It says in that act that any felony within 10 years means you arent qualified...

I'm looking to start a career as a financial planner/advisor/broker whatever... and I already have my CA Insurance license. Back in 2001 I was convicted of a felony possession of a controlled substance. In the summer of 2004, I had this conviction reduced to a misdemeanor and expunged from my...