Before being licensed, I did some consulting work and had a website. The state apparently felt I was providing investment advice and issued a cease-and-desist order. I took down my website, stopped my consulting work and was hired by a brokerage firm and took my Series 7. Do I need to disclose the cease-and-desist on my U4?
Yes. If youre already working as a registered rep, you need to file an amended U4 as soon as possible. Frankly, Im surprised that FINRA didnt find this when you applied for registration.
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