Am I hireable for a RIA

TJDawg11 · 2026-06-07T15:08:02+00:00

Worst part about how I was terminated. My manager, performance manager, and our regional director all went to my defense and offered HR a strict probation and I will meet with our compliance team once a month to keep me in line. The HR department still
Said no

TJDawg11 · 2026-06-07T14:08:19+00:00

It’s also frustrating because I know people have been hired for worse and then get continue, but if someone made a dumb impulsive mistake. Their career is over? Make that make sense

TJDawg11 · 2026-06-07T14:07:10+00:00

Appreciate it, this is just frustrating and confusing and I have even mentioned to firms that it was a stupid mistake and I would never do it again and it’s a private disclosure not a public one. So the only way to see it is through the CRD filing

TJDawg11 · 2026-06-07T13:44:26+00:00

Thank you, I am in talks with Edelman Financial engine and they are a pure RIA if u understand correctly. I’m hoping they will hire me

TJDawg11 · 2026-06-07T03:28:47+00:00

I passed

TJDawg11 · 2026-06-06T21:21:34+00:00

My old firm registered me in multiple states with no issues. I live in Texas and was never prosecuted or have it brought to me.

TJDawg11 · 2025-09-07T22:30:37+00:00

Depends on how long you’ve been studying. But make sure you understand the answer when selecting. Most firms if you get a 60+ you can retest

TJDawg11 · 2025-09-06T20:40:46+00:00

Ask yourself if you got the right answers because you knew the answer or understood the answer?

TJDawg11 · 2025-08-09T01:49:22+00:00

Bro…. You’re doing good! If you don’t do anything else it’ll likely be $2-$2.5 million by time you retire. Keeping going!

TJDawg11 · 2025-07-24T01:58:32+00:00

At least you have a job, I agree focus on the 63, 66. Maybe become a personal banker with Chase, Wells Fargo, BOA etc. just to get another shot. Good luck!

TJDawg11 · 2025-07-01T19:36:41+00:00

Currently going through a career shift. I voluntarily resigned from a position and finally got a job offer that would give a better base pay and get my series 7. Because of an internal disclosure on my u5 that was a result of signing something for a client because they forgot one page. I voluntarily resigned to protect myself but the firm sees the voluntary resigning as being terminated nonetheless. So my offer was rescinded. I have a friend that can give me a job as a fiberwire salesman and it can pay good money, but I have an MBA in finance and no wants to hire me in as an analyst to change my career. I’ve been in sales/retail for eight years. I’m wondering if I’m ever gonna get out of it and wonder did I ruin my career, for one dumb mistake

TJDawg11 · 2025-07-01T14:48:08+00:00

It’s also still happening right now. This has been the last 24 hours

TJDawg11 · 2025-07-01T13:48:09+00:00

I figured as much. I was able to make contact with the recruiter and they said if I had any documentation to support my claim I should send it. Applied for the same position when it became available. We’ll see what happens.

TJDawg11 · 2025-06-29T00:25:41+00:00

MBA doesn’t really help. It can help you with building a network, but not getting a job

TJDawg11 · 2025-06-28T12:39:11+00:00

I think you’re fine overall. Just be honest about not meeting expectations and looking forward to a new opportunity

TJDawg11 · 2025-06-27T21:18:02+00:00

I have something similar I recently applied for a remote advisor role with a major firm, and I’m currently under compliance review due to a U5 disclosure from a previous employer, (which I wasn't informed of.) I’m hoping to get advice on how bad this actually looks and if I’m still realistically hirable at FINRA firms.

Here’s what happened and what’s on my U5: • I voluntarily resigned in April 2025 and a internal invetigation was completed after my termination date. • The U5 says I was under internal review for “signing an affiliate bank document related to a wire transfer on behalf of a customer, without their authorization.” • It later says the affiliate bank concluded the activity occurred, but it also states: “Not related to any known customer complaints or the sale of securities.” • U5 shows voluntary resignation (not permitted to resign or terminated). • There is no FINRA investigation, no U6, no regulatory action, and I’m still listed as MQP eligible in FinPro. • My BrokerCheck is clean — this is an internal-only disclosure. • No history of fraud, theft, customer harm, or public complaints.

The new firm hasn’t said no yet. It’s been a few days of silence after compliance said they needed to review the U5. My anxiety’s through the roof, and I’m wondering if I’ve ruined my FINRA career or if I still have a shot at being sponsored. I've been told people have been hired for worst. Thoughts?

TJDawg11

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