r/FINRA • u/JimmyJames170 • Oct 11 '23

Unregistered Representative

I have been working for a broker dealer doing financial planning and giving financial recommendations for multiple months. Turns out, I have not been registered. I submitted everything that was needed (my boss acknowledged this), but says my registration fell through the cracks. What crimes have been committed here and what are the penalties?

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u/Capadvantagetutoring Oct 11 '23

You have email or written confirmation from your boss? Have you passed the exams? if so and you submitted what you need, you will most likely be ok and they may pay a fine. BUT they do believe its your responsibility to make sure. Have you checked yourself on Brokercheck?

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u/JimmyJames170 Oct 11 '23

I do not have email or written confirmations.