A certain person has asserted that he graduated from Harvard Business School and that he is registered with the US SEC as a Series 7, Series 6 and Series 63 investment broker. I cannot find him on the SEC site. How do I verify this information?
2007-09-28 09:12:51 · 4 answers · asked by Anonymous in Education & Reference ➔ Higher Education (University +)
You can write a letter to Harvard and ask if the person did graduate from their business school. If the person's credentials do not appear on the Securities and Exchange website, I'd contact the US Attorney for your district and have him investigated.
However, you're taking on a couple of tasks better left to folks who have experience and/or education in business administration. Those are specialized talents.
2007-09-28 09:18:47 · answer #1 · answered by Stuart 7 · 1⤊ 0⤋
Here is the phone number for HBS: 617-495-6000
You can call them and ask how to verify that he graduated from HBS.
As for the SEC registration, his old company would have taken care of the registration. Once he leaves their firm, it expires. Your company would have to renew his registration within a short period of time. Your compliance officer should know how to do this.
If you can do this -- he was already registered. If not, then either he was registered in the past and it expored, or he was never registered. There is no way to find out which it is. Either way, these exams are trivial to pass so there is no need to lie about having passed them.
2007-09-28 11:10:23 · answer #2 · answered by Ranto 7 · 0⤊ 0⤋
I disagree with the answers that my collegues have given you.
Firstly, if this person has Series 7, 6, and 63 license they are registered with the US SEC (Securites Exchange Commission) which is the licensing body for commodity brokers, stock brokers, and bond traders just to name a few. I strongly recommend that you get this individuals name, the name of the firm that he represents, AND HIS LICENSE NUMBER FROM THE SEC.
FINRA is the regulating body for brokers
http://www.finra.org/index.htm
http://www.sec.gov/
Remember, GET HIS/HER NAME, LICENSE NUMBER, AND THE NAME OF THE FIRM AND DO A CHECK ON FINRA.
Hope this works out.
2007-09-28 17:27:34 · answer #3 · answered by John 2 · 0⤊ 0⤋
Maybe you should hire someone with a BBA that knows how to do background checks and screen job applicants.
2007-09-28 09:15:25 · answer #4 · answered by NONAME 2 · 2⤊ 0⤋