FINRA Broker Check

S

snowbren

Hi trading community,

Just a quick question...if one joins a prop firm that is a member of CBSX and fills out the U-4 , will the results and previous U-10 Series 60-x licenses show up in FINRA's Broker Check? The fingerprint cards had FINRA cited. There does not seem to be a comparable Broker Check on the CBSX website, so I was curious whether the U-4 info becomes public domain.

Thanks for any insight!
 
Okay, I received this reply from CBOE:

"The CBOE doesn't hold licensing for all exams, so once the U-4 has been
submitted by the firm, they must check the appropriate registration
under CBOE and that exam would need to be completed along with
submission of cleared fingerprints in order for the information to
appear on WebCRD. If the appropriate exam has already been completed
and doesn't appear on CRD, you'll need to contact the testing
center(s)(Prometric - 800-578-6273 or Pierson - 866-578-6273) and/or
FINRA's Gateway call center (301-590-6500) to have the exam(s) listed,
as CBOE does not see or enter exam results."

So, it looks like contacting the exam company might work if the exams are not displayed on the Finra Broker Check.
 
And I received one final follow-up from CBOE, essentially stating: "I think the only time a license will be listed, is if you're currently registered with a Member firm or if your status has terminated with a Member firm, the license status will still appear, but with a status of terminated. I think if you contact the Gateway Call Center, they may be able to best answer your questions."
 
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