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Rev. Form U4 (05/2009) UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER INDIVIDUAL NAME: INDIVIDUAL CRD #: FIRM NAME: FIRM CRD #: 1. GENERAL INFORMATION FIRST NAME: MIDDLE NAME:

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Start by opening the individual name form

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Who needs individual name?

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Any person applying for a personal identification document

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Individuals who need to provide their legal name for official purposes

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Individuals who want to update or correct their name in official records

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Anyone undergoing a legal name change process

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What is individual name?

Individual name refers to the unique name of a person.

Who is required to file individual name?

Any individual who needs to be identified or distinguished is required to file individual name.

How to fill out individual name?

To fill out individual name, simply write the name of the person in the designated field.

What is the purpose of individual name?

The purpose of individual name is to provide a specific identifier for a person.

What information must be reported on individual name?

The information that must be reported on individual name includes the full name of the person.

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