Features of the Financial Professional Gateway
View Registration Details
Review your registration and licensing information that is available in the Web CRD/IARD systems:
- Employment History
- Registrations held with current and previous employers
- Professional Designations for Investment Adviser representatives
- Other Business Activities
- Exam information, including a complete history of license examinations
- Continuing Education, including current and future CE requirements
- Current and Archived Disclosure Events, including the most recent answers to the Form U4 Disclosure questions
- Summaries from the latest Disclosure Reporting Pages (DRPs) submitted to CRD as part of a Form U4, U5 or U6 filing
Get Reminders
Get reminders of tasks requiring your attention including, upcoming Continuing Education requirements, open exam windows and scheduled appointments.
Complete Form U4
See requests from your firm for input on your Form U4, and link directly to your Form U4 to complete the request.
Satisfy Continuing Education Requirements
Link directly to the Continuing Education (CE) Online website to complete continuing education requirements.
Update Residences
Modify current or historical residential address information—for formerly registered brokers or investment adviser representatives.
Schedule Exams
Link directly to the Prometric website to schedule exams.
View U5
Receive email notifications whenever a firm submits a new Form U5 filing for you in CRD. View and print a copy of your latest