Do they do a backround check when applying for a securities license? Or can you hvae a criminal record ?

they check because you carry a gun

Yes, they do a background check as well as a credit check.

You wouldn't want some career criminal with a history of money problems handling your money, would you?

Yes they do and depending on what's on your criminal record will depend on whether you can get your license. If it's old and petty you should be right.

Yes. I assume you want to get an NASD Series 6 license to sell stocks, mutual funds and insurance products. Your fingerprints are taken and the FBI does a background check on you. This is because you may/will be handling large amounts of other people's money. If you are dirty they will know, they will alert your potential employer and the firm you want to work with will not hire you. There is no place in finance for thieves or crooks of any sort.

They are merely high-class salemen and women living and profiting on commissions. All it takes is for them to have a gift of the gab to tease the vulnerables and the fools into parting with their money or be willing to dump off their shares whenever they have more important clients waiting to grab up those shares..

Securities licenses are governed by the SEC... so yes... they do a complete background check... including offenses that have been expunged.

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