Legal Question in Securities Law in California

Series 7 License

Can one obtain a Series 7 License if they have been convicted of a federal crime?


Asked on 8/14/01, 11:56 pm

1 Answer from Attorneys
Bryan Whipple Bryan R. R. Whipple, Attorney at Law

Re: Series 7 License

I believe conviction or a plea of guilty or nolo contendere of/to a felony or a misdemeanor involving "moral turpitude" (e.g. embezzlement, forgery, etc.) will disqualify you for a lengthy period of time, ten years I believe.

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Answered on 8/15/01, 2:17 pm


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