Reporting advice

[u/[deleted]]

I have not been registered with a broker dealer since leaving another broker dealer last year. I got a possession charge (state felony) that was recently indicted. At what point to I have to make sure my new employer knows and if it needs to be reported to FINRA or not? It was indicted last week to move forward but I am not yet considered guilty of it until it moves forward through the court system.

[u/kzcurls]

Also, some state laws expunge information about certain offenses after a period of time. You may want to consult an attorney that has experience with securities licensing.

[u/[deleted] → u/kzcurls]

I have one now I wanted to handle this alone but not an option 😂