U4 form 2025

Show details

4.8 out of 5

236 votes

The document is the Uniform Application for Securities Industry Registration or Transfer (Form U-4), which is used by individuals seeking registration in the securities industry. It collects personal information, employment history, and details regarding regulatory compliance, including fingerprinting requirements and dual registration status. The form also includes sections for disclosing any legal or regulatory issues, such as criminal charges or customer complaints, and requires signatures from both the applicant and their firm to validate the application.

Here's how it works

01. Edit your form u 4 instructions online

Type text, add images, blackout confidential details, add comments, highlights and more.

02. Sign it in a few clicks

Draw your signature, type it, upload its image, or use your mobile device as a signature pad.

03. Share your form with others

Send form u4 via email, link, or fax. You can also download it, export it or print it out.

How to quickly redact U4 form online

Ease of Setup

DocHub User Ratings on G2

Ease of Use

DocHub User Ratings on G2

Dochub is a perfect editor for changing your forms online. Follow this simple instruction to redact U4 form in PDF format online at no cost:

Sign up and log in. Register for a free account, set a secure password, and go through email verification to start managing your forms.
Add a document. Click on New Document and select the file importing option: upload U4 form from your device, the cloud, or a secure URL.
Make adjustments to the template. Use the upper and left panel tools to change U4 form. Add and customize text, pictures, and fillable areas, whiteout unnecessary details, highlight the important ones, and comment on your updates.
Get your paperwork completed. Send the form to other individuals via email, create a link for quicker document sharing, export the template to the cloud, or save it on your device in the current version or with Audit Trail included.

Discover all the benefits of our editor right now!

See more u4 form versions

We've got more versions of the u4 form form. Select the right u4 form version from the list and start editing it straight away!

Versions	Form popularity	Fillable & printable
2002	4.8 Satisfied (236 Votes)

be ready to get more

Complete this form in 5 minutes or less

Get form

Got questions?

We have answers to the most popular questions from our customers. If you can't find an answer to your question, please contact us.

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.

What needs to be reported on a 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 a U4 form used for?

Although there are different types of Form U5 termination filings, such as reporting full or partial terminations or amending past Forms U5, when it comes to full terminations, there are really only three causes: death, being fired and voluntarily resigning.

What is a U5 form used for?

GENERAL INSTRUCTIONS The Form U5 is the Uniform Termination Notice for Securities Industry Registration. Broker-dealers, investment advisers, or issuers of securities must use this form to terminate the registration of an individual in the appropriate jurisdictions and/or self- regulatory organizations (SROs).

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.

sign u4

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

Related forms

be ready to get more

Complete this form in 5 minutes or less

Get form

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.

U4 form 2025

Here's how it works

How to quickly redact U4 form online

See more u4 form versions

Complete this form in 5 minutes or less

Got questions?

What is a form U4?

What needs to be reported on a U4?

What is a U4 form used for?

What is a U5 form used for?

What is the difference between U4 and U5 forms?

Complete this form in 5 minutes or less

People also ask

What disqualifies you on a U4?

u4 form

Try more PDF tools