Expungement and financial licenses

**freshstart** · 07-11-2005, 04:47 AM

Hello and thank you for reading this. I'm from California, which is where all this started. I've had three prior convictions officially expunged, which where 2 for driving without a valid driver's license and 1 for petty theft. Recently, I was offered a position as a financial consultant and during the initial application process, I answered "no" that I have never been convicted of a felony or crime because I was told from the different public defenders that helped me with the expungement processes for these 3 prior convictions that I could rightfully say "no" when asked that question.
As part of the position, I have to take & pass both the Series 6 (NASD required) and Series 63 (STATE required) exams in order to work for the company, which is sponsoring me for the exams. As of today, I am preparing and studying for the exams and plan to take them shortly. My question is that since I have already said "no" on my employment application for the question of if I have every been convicted of a crime or felony, would it be wise to continue to say that I have not been convicted when it comes around to the licenses? Will the company that is sponsoring me for the license exams find out if I say "yes" that I have been previously convicted when it comes to that dreaded question on the application for the licenses. The company is the one who is dealing with all the paperwork and sending it out. I just fill it out. What is the best thing to do in order for me to keep this new position? I truly appreciate your time and honest advice. Thank you very much.

**aaron** · 07-11-2005, 08:02 AM

Given the specificity of your inquiry, and the likely research time involved in trying to find an answer, I suggest you pose this question to a California lawyer who handles licensing issues and appeals.