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

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How to fill out form u-4 uniform application

01

Obtain the Form U-4 Uniform Application from the Financial Industry Regulatory Authority (FINRA) website or your employer.

02

Fill out all required sections of the form accurately with your personal information, employment history, and disclosure information.

03

Have your supervisor or compliance officer review the completed form for accuracy and completeness.

04

Sign and date the form where required, making sure to provide any necessary disclosures or explanations.

05

Submit the completed Form U-4 to your firm's compliance department or the appropriate regulatory authority.

Who needs form u-4 uniform application?

01

Individuals seeking to register as a securities representative, such as brokers and investment advisers, need the Form U-4 Uniform Application.

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What is form u-4 uniform application?

Form U-4 is a uniform application for securities industry registration or transfer.

Who is required to file form u-4 uniform application?

Individuals seeking to become registered in the securities industry are required to file Form U-4.

How to fill out form u-4 uniform application?

Form U-4 can be filled out online through the Central Registration Depository (CRD) system.

What is the purpose of form u-4 uniform application?

The purpose of Form U-4 is to provide a standardized method for firms and regulators to register individuals in the securities industry.

What information must be reported on form u-4 uniform application?

Form U-4 requires information such as personal background, employment history, and any disclosure events.

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