I thought this was hilarious... but I'm trying to open my Series 7 window. My employer needs to run a background check before we do that.

The vendor verified my undergrad institution and showing that I graduated. They are now asking me to send them a copy of my high school diploma since they could not verify it 🤦🏻‍♀️

likefunny
Posting as :
works at
You are currently posting as works at

FINRA requires firms to do a background check that goes back for at least 10 years that includes full credit and criminal. Many firms may only go back 4 years. I am not sure what background search firm you are using but you can also just provide some contact information for your school they can do it themselves.

As an aside we usually tell HR that if someone is being hired that is required to obtain a 7 that they run the check at the time of hire, but a lot of times it doesn’t happen. When we have to file these things this becomes a bottleneck and it annoys us as well. Just keep on top of it and hopefully should be done soon.

like

Like 1 or 2 questions

I’m not surprised buddy. I have a year trying to get my window open. They rejected me the 1st time, then recently they enrolled me in the learning platform. After that, I requested them to open my window to schedule the exam and I’m still waiting for an answer. My next move will be changing employers. Nobody is going to stop me for growing in my career

I’m happy for you man. I heard IB is great. What do you need to get into IB? Willing to refer? Lol

Update: my Series 7 window has opened 😊

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