Wells Fargo employee_filed bankruptcy_FINRA series 7

Get new comments by email
You can cancel email alerts at anytime.
Comments (3)

Jackie in Charlotte, North Carolina

53 months ago

Hey guys.. in need of some advice/guidance here.

I am a Wells Fargo employee that filed personal bankruptcy last year. One of my discharged debt is with WF. So WF already knows that I've filed BK. Now because of FINRA, certain members of my division are required to have the series 7 license for 2012.

Question - Once I file the U-4 and HR gets a hold of my "declaration/disclosure"... can/will they deny me to take the exam? Again WF already knows I've filed BK.. I've read FINRA does not refuse individuals who filed BK from taking the exam... it is up to the individual company/brokers.

Anyone have any knowledge or experience with this predicament? How does BOA, Chase, Citi.. handles these kinds of matters.?

Thanks.

- Was this comment helpful? Yes (2) / No Reply - Report abuse

jac in New York, New York

16 months ago

Bankruptcy itself doesn't preclude you from having a series 7. It will be a company decision.

- Was this comment helpful? Yes / No (2) Reply - Report abuse

John in Gastonia, North Carolina

12 months ago

Hi Jackie,

I also am a WF employee and I am filing 2 debts to discharge with WF. Did you inform them that you were filing some of their debts or just do it? Also did you stay employeed after bankruptcy?

- Was this comment helpful? Yes (1) / No (1) Reply - Report abuse

» Sign in or create an account to comment on this topic.