Discharges U4/U5

No replies
Dash29's picture
Offline
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. 

Please or Register to post comments.

Industry Newsletters
Investment Category Sponsor Links

 

Careers Category Sponsor Links

Sponsored Introduction Continue on to (or wait seconds) ×