Series 28: Employee Records

Employee Records

Every firm must keep on file a questionnaire or employment application prepared by each of its associated persons and approved in writing by an authorized representative of the firm. This record must contain, at a minimum, the following information about the employee:

• • Name, address, Social Security number, and the beginning date of employment
• • Date of birth
• • A statement of all previous business connections for the preceding ten years
• • A record of any denial of membership or registration, or disciplinary action or sanction imposed by any federal or state agency, national securities exchange, or securities association