Share Your Education
Please start with your most recent educational experience. You must specify at least 1 education
entry.
Questions
Are you authorized to work permanently in the location in which you are expressing an interest? If
you are currently on a student visa, work visa, or any other type of government sanctioned work
status, or will require sponsorship in the future, please select “NO” and provide additional
details. Based upon the work location, you may be required to provide documentation proving your
authorization by your first day of employment.
When answering the following 3 questions, please indicate “YES” if this occured to you personally or
at an organization in which you exercised control. When providing an explanation include the dates,
regulator, fact description, and describe any penalty, fine or other outcome.
Have you ever been the subject of any actions by a governmental authority, licensing agency or
self-regulatory authority (for example the SEC, OCC, FDIC, FINRA, DOJ) that resulted in any finding,
conviction or settlement, other than previously disclosed in this application?
Have you been notified in writing that you are the subject, or a potential subject, of an action
that could result in a “YES” answer to question one above?
Are you currently or have you ever been, named defendant / respondent in any civil lawsuits or
arbitration involving allegations of misconduct related to financial services?
Are you at least 18 years of age?
Are you a veteran?
I hereby affirm that I have provided complete and accurate answer to all of the questions above and
that all of the information I will provide with this profile is accurate. Note: Providing inaccurate
or incomplete answer of information may result in corrective action up to and including termination
or disqualification from consideration for employment.
