Will a DUI on my record prevent me from starting a career in Financial Planning?

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Robert in San Jose, California

70 months ago


I was hoping someone who works in the HR/recruiting/hiring side of the financial planning business could answer this question, but if you know anything about this issue, please respond.

I got a DUI a little over a year ago. Making matters worse, my work history has been unstable over the past 10 years due to lay offs etc. I've spent the last three years as a home dad, supporting my wife and children while my wife started up her own business (working 60+ hours per week). Now I need to get back to work and I would really like to pursue a career in financial planning. I was thinking that I might try to start as a para planner and go from there. I have a masters in applied economics and finance but have not worked in a financial career (back ground is in business research, analyst, consulting).

My biggest concern, before I even begin looking for opportunities as a para planner (or assistant) is the DUI. Is this a deal breaker, and will it prevent me from being able to get my series 7 and 63 licences?

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