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How to fill out u-4

01

Obtain a U-4 form from a broker-dealer firm or the Financial Industry Regulatory Authority (FINRA) website.

02

Fill out personal information such as name, address, social security number, and date of birth.

03

Disclose any criminal background or financial violations.

04

Provide employment history and detailed information on any previous securities registrations.

05

Have your employing broker-dealer firm or employer sign and submit the completed U-4 form to FINRA.

Who needs u-4?

01

Individuals seeking employment in the securities industry.

02

Registered representatives, brokers, and investment advisors.

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What is u-4?

U-4 is a form used by the Financial Industry Regulatory Authority (FINRA) to register individuals as securities industry professionals.

Who is required to file u-4?

Anyone looking to register as a securities industry professional must file a U-4 form.

How to fill out u-4?

U-4 forms can be filled out electronically through FINRA's Central Registration Depository (CRD) system.

What is the purpose of u-4?

The purpose of the U-4 form is to provide FINRA with information about the individual seeking registration, including their personal and professional background.

What information must be reported on u-4?

The U-4 form requires information such as employment history, financial disclosure, regulatory actions, and any criminal history.

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