Belmont, CA asked in Tax Law and Securities Law for California

Q: I am a FINRA registered representative with several securities licenses and had a tax lien.

A tax lien was placed on my assets, then released, without my knowledge. My new employer wants me to have this recorded on my U4. Is there any way I can keep it off my U4?

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1 Lawyer Answer
Steve A. Buchwalter
Steve A. Buchwalter
  • Securities Law Lawyer
  • Encino, CA
  • Licensed in California

A: Yes. Pursuant to question 14m on the form U4, only unsatisfied liens need to be reported.

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