[quote=vbrainy]

I agree, there is more to this story.

Imagine Ameriprise hiring such high quality people.

I can’t understand why Ameriprise so readily hires individuals with misdemeanors, felonies, bankruptcies etc in the first place. Doesn’t that seem ridiculous in this industry?



‘Hi, Mr & Mrs Client. I am Joe Shmoe your financial advisor. Oh you want to know a little about my background. My pleasure, let’s see I have 3 misdemeanors, 1 felony conviction and you’ll be happy to know I’m in the middle of declaring bankruptcy. So now that we have that out of the way, which solution do you feel most comfortable with in regards to your retirement planning issue?’

In their defense, it sounds like this joker kept it secret from them…

Well… I guess to clarify things in further, I contacted the court.  They said my case was sealed and discharged, especially since it was a first offenders case. Only police enforcement can see my record.

Also, that since my case was sealed and discharged, it only says that I got arrested. But there is no criminal charges.

Would the arrest still bar me working at UBS and fail my background check?

Also, at Ameriprise, I don’t know if they saw anything on my background check.

I’m thinking that their background check is not as thorough.

Also… is the Brokercheck have the same info as on the U-4… word for word?

 Your criminal record might show up once they conduct major background check. There are ways to completely remove your criminal record. There are firms that can help you with that, I recommend http://www.recordgone.com because I already know someone who used them. it If you had your record cleared already you can always ask for a full criminal pardon from a governor of your state. If you would get it you could freely say that you have never been convicted of any crime. Pretty cool right? Good luck!