WHAT ARE FINRA AND NMLS LICENSING DISCLOSURES?

Simply put, a way to get your life back.

FINRA and NMLS Licensing

Have an experienced FINRA and NMLS attorney on your side


Even with an expunged criminal record, you will still need to disclose it to FINRA or NMLS in order to obtain your license.

In July of 2007, the National Association of Securities Dealers, Inc. (NASD) and the New York Stock Exchange Regulation, Inc. (“NYSE Regulation”), the regulatory subsidiary of the New York Stock Exchange, consolidated their member firm regulation operations into a combined organization, known as the Financial Industry Regulator Authority, Inc. (FINRA).

Similarly, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008, otherwise known as the S.A.F.E. Act of 2008, sought to enhance consumer protection and reduce fraud by establishing the Nationwide Mortgage Licensing System and Registry (NMLS) for the residential mortgage industry.

These changes to the law mean that, even if you have an expunged record, you may still have to disclose the case to either the NMLS or FINRA in order to obtain your license.

Lifeback Legal is a division of the law firm of Shea M. Randall. We are FINRA and NMLS licensing attorneys and are here to help you with that process. If you have a criminal record and are worried about accurately handling your FINRA and NMLS licensing disclosure, or if you need assistance obtaining supporting documentation, you are eligible for this service. FINRA and NMLS licensing disclosures can be tricky and we can help you avoid common pitfalls. We also complete FDIC waivers if your employment requires Section 19 clearance.

Sign up online today or contact our office now to speak with a FINRA and NMLS Licensing Lawyer today.

Get your life back
with Lifeback Legal.



Sign up online today for help with your FINRA and NMLS licensing disclosures.

    FINRA and NMLS Licensing Attorneys.

    • Case handled by a FINRA and NMLS licensing attorney licensed in California.
    • Expedited filing on all waiver applications
    • Affordable, flat fees including attorney fees.
    • Interest-free payment plans.
    • 14-day price matching guarantee.
    California Criminal Record Expungements

    Need assistance?
    Call (888) 751-5329 for a free consultation.

     

    HOW DO I KNOW IF I QUALIFY FOR NMLS AND FINRA DISCLOSURES?

    Sign up online today or contact our office now to speak with a FINRA and NMLS Licensing Lawyer today.


    Under the S.A.F.E. Act, someone who wants to become licensed as a Mortgage Loan Originator (MLO), must meet the minimum standards for licensing and registration and provide to the NMLS information concerning the applicant’s identity. This means that a rigorous background check is performed.

    This background check includes some of the following:

    • Submitting fingerprints to the FBI, and any governmental agency or entity authorized to receive such information for a State and national criminal history background check; and
    • Information related to any administrative, civil, or criminal findings by any governmental jurisdiction.

    In order to pass the criminal component to the background check an applicant must meet the following minimum standards:

    • The applicant has never had a loan originator license revoked in any governmental jurisdiction.
    • The applicant has not been convicted of, or pled guilty, or nolo contendere, to a felony in a domestic, foreign, or military court—
      • During the 7-year period preceding the date of the application for licensing and registration; or
      • At any time preceding such date of application, if such felony involved an act of fraud, dishonesty, or a breach of trust, or money laundering.

    Become a Mortgage Loan Originator


    Have confidence submitting your NMLS disclosures.

    This means that working at any FINRA or NMLS licensed company can be extremely challenging if you have any felony on your record, which occurred seven years prior to your application, or if your felony involves an offense of dishonesty, breach of trust, or money laundering, at any time prior to your application. If you don’t disclose and you do obtain work then your job is not safe. Random background checks are increasingly more common.

    At Lifeback Legal, we are FINRA and NMLS Licensing attorneys and are knowledgeable about FINRA and NMLS licensing disclosures. We are able to help you meet the necessary disclosures by providing advice and helping you compile court records that are necessary. We understand your need to get back on your feet and have a confidential advocate and are here to assist you.

    Sign up online today or contact our office now to speak with a FINRA and NMLS Licensing Lawyer today.

    *By clicking ‘submit’ you understand that this does not create an Attorney-Client relationship. While we do our best to respond to you quickly, we are under no obligation to take your case or provide any sort of response. We do not sell or share your information. Providing your basic information simply gives our law firm the opportunity to follow-up and engage in a conversation to best assist you.

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    HOW DO I GET STARTED?

    Once you hire us, Lifeback Legal handles everything for you.


    FINRA and NMLS Licensing

    Shea M. Randall

    Founding Attorney

    The process for us helping with your FINRA and NMLS licensing disclosures involves examining what is on your criminal record and guiding you through the process on what and how, if necessary, to disclose those offenses in your submission to the FINRA and NMLS.

    Submitting your disclosures to FINRA and NMLS can be very anxiety provoking and the last thing you want is to feel like you’re just another number. This is why when you contact our office you will be in direct contact with our founding attorney, Mr. Shea M. Randall. Mr. Randall provides outstanding one-on-one communication with clients to ensure all of your legal needs are met.

    Lifeback Legal is a division of the Law Firm of Shea M. Randall, a trusted California Law Firm. We specialize in helping individuals get their life back with California criminal record expungements and federal licensing services.

    We are a full service Law Firm — from gathering documentation, hand-crafting petitions, and dealing with the headache of the Courts.

    Sign up online today or contact our office now at (888) 751-5329 to speak with a FINRA and NMLS Licensing Lawyer today.

    FINRA and NMLS Licensing
    $250*
    Flat Fee. Includes all attorney fees. Nothing hidden.
    Sign up now

    INCLUDES THE FOLLOWING:

    • Case handled 100% by a California Licensed Attorney
    • Money Back Guarantee
    • Expedited Process
    • Fixed, Flat Fee
    • Outstanding Customer Service

    * This flat fee includes advice on disclosures and determining the next step. Many people simply need guidance in completing the process, in which case no further service is required. Additional help such as requesting documents, phone calls to agencies, and more may require additional expenses.

    Get your life back
    with Lifeback Legal.



    Sign up online today for help with your FINRA and NMLS licensing disclosures.

      FINRA and NMLS Licensing Attorneys.

      • Case handled by a FINRA and NMLS licensing attorney licensed in California.
      • Expedited filing on all waiver applications
      • Affordable, flat fees including attorney fees.
      • Interest-free payment plans.
      • 14-day price matching guarantee.
      California Criminal Record Expungements

      Need assistance?
      Call (888) 751-5329 for a free consultation.