U4 form 2025

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The document is the Uniform Application for Securities Industry Registration or Transfer (Form U4), which is used by individuals seeking registration in the securities industry. It includes sections for general information, fingerprint details, registration requests with affiliated and unaffiliated firms, examination requests, professional designations, identifying information, residential and employment history, and disclosure questions regarding regulatory actions, criminal history, customer complaints, and terminations. The form requires detailed personal and employment information to assess eligibility for registration.

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Click ‘Get Form’ to open the u4 form in our platform's editor.
Begin by filling out the 'General Information' section. Enter your first name, middle name, last name, and individual CRD number. Ensure all details are accurate.
Proceed to the 'Employment Address' section. Input your office address, including street, city, state, country, and postal code. If this is a private residence, check the appropriate box.
In the 'Fingerprint Information' section, select the appropriate options regarding your fingerprint submission status and any exemptions that apply.
Complete the 'Registration with Unaffiliated Firms' section by indicating if you will maintain dual registration and listing any additional firms as required.
Review all sections for accuracy before signing. Use our platform’s features to electronically sign where indicated.

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What disqualifies you on a U4?

WHAT DISQUALIFIES YOU ON A U4? Any violations of securities or financial-related laws or regulations will disqualify a person on a U4. Additionally, all Felony convictions and certain misdemeanor offenses involving fraudulent pretenses within the previous 10 years are disqualifications.

What must be disclosed on form U4?

Form U4 requires full disclosure of the applicants regulatory and disciplinary history. This includes criminal charges, financial issues such as bankruptcies or liens, civil litigation, and prior regulatory actions or fines.

What is the difference between U4 and U5 forms?

While Form U4 is filed when an employee joins a broker-dealer, Form U5 is used when a registered representative leaves the firm. Form U5s full name is the Uniform Termination Notice for Securities Industry Registration. The function of Form U4 is to associate an individual with a particular firm.

What is reportable on a form U4?

As a financial advisor, youre required to file a Form U4 with FINRA. This form asks for disclosure of any reportable events based on when they occurred. This could include anything from a misdemeanor arrest to a customer complaint.

Do tax liens need to be reported on U4?

The Form U4 plainly requires disclosure of any unsatisfied judgments or liens and further requires the filing of a DRP that discloses the lien amount, lien holder, and lien type.

form u4 disqualification

Form U4 PDF Form U5 FINRA U4 FINRA U4 reportable events Form U4 employment history Form U4 INSTRUCTIONS U4 form online Form U4 lookup

What is a form U4?

The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.