Discharges U4/U5

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Dash29's picture
Joined: 2012-06-13

A friend of mine was discharged from a wirehouse years ago.  The firm listed  "failure to meet production numbers" on his U5.  No complaints or arbitration proceedings are on his records.  Can a new securities industry employer/prospective employer see his discharge and reason for discharge?  At what point in the hiring process do these records get examined?  Any input is appreciated. 

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