I have a second round interview with a company on Thursday. I did not check brokercheck before the first interview (yesterday), but I finally did today. Smaller company, looks like 3 people in the office are licensed. 1 older gentleman, doesn’t seem to be very active with clients currently, no disclosures. 1 assistant role, 1 disclosure from 2013 which was a bankruptcy. Head advisor, 5 disclosures, 13 firms, 37 years experience. All disclosures from 1987-2004. First 2 disclosures are for grand larceny (1987,1988). Last 3 disclosures (2003, Jun 2004, Oct 2004) are all settled customer disputes for unsuitable investments purchased, and the last 2 were not very specific on what happened. All 3 disclosures amounted for settling over $225,000.
How big of a red flag is this? When I go to the interview, should I bring this up and how?