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Financial Professional Gateway (FinPro)

FinPro header

FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.

Are you interested in FINRA’s new Maintaining Qualifications Program (MQP)? Learn more about accessing FinPro and the MQP on the page below.

 


On This Page

Accessing FinPro

FinPro users must create account credentials (user id, password and security challenge questions) as well as verify their identity with Transunion to access the system. (Tip: See the FinPro Account Creation Guide for guidance if you have not yet created a FinPro account.)

FinPro cannot be accessed with Internet Explorer. Use a supported browser to log in.

First-Time FinPro Users


Before creating an account: Have you self-enrolled in an exam or used one of these FINRA systems? If so, you can use the same system credentials to log in to FinPro.

Can’t remember your user id or password? Recover them via email.
 

Returning FinPro Users


If you have logged in to FinPro before, sign in or quickly retrieve your credentials through the buttons below.

Note: You may need to create a new FinPro account if more than three years have passed since your last login. FinPro credentials are automatically deleted after 36 months of inactivity.
 

FinPro Features

Securities professionals can perform the following tasks in FinPro:

CRD Record
  • View your CRD record
  • Update your residential address (if not currently registered)
  • Notify your firm when you have reviewed your CRD record, and confirm whether or not updates are needed (firm must enable Attestation feature)
Qualification Exams and Continuing Education (CE)
Forms

We are using your feedback to develop more features. New features will be announced on this page as they are released.


What's New

June 2022: Regulatory Element CE Can Be Applied to IAR CE Requirements Starting June 30

Each investment adviser representative (IAR) will need to attain 12 CE credits each year to maintain their IAR registration in states that have adopted the model rule. A “credit” is a unit that has been designated by NASAA to be at least 50 minutes of educational instruction. The 12 credits must include six credits of Products and Practice and six credits of Ethics and Professional Responsibility. IARs may apply the securities industry Regulatory Element course towards the Products and Practice component of the IAR CE requirements by paying the $18 fee and reporting it ($3 per credit hour times six credits) through FinPro.

Starting June 30, individuals can use FinPro to pay for and apply their Regulatory Element from 2020, 2021 or 2022 to their 2022 IAR CE Product and Practices requirement. Payments are non-refundable.

Note: Effective June 30, firms can also opt in to pay and apply Regulatory Element CE to the IAR CE Product and Practices requirement through a new feature in FINRA Gateway. See the Firm Settings Guide for more information.

LEARN MORE ABOUT IAR CE 

April 2022: Notifications Tracking Report Available April 5

Effective April 5, firms can use the Notifications Tracking Report in FINRA Gateway to monitor FinPro’s auto-generated Regulatory Element CE email notifications. The report includes many data points requested by firms, including email addresses, email subject, date sent, and the date an email was opened.  

LEARN MORE IN THE FIRM SETTINGS GUIDE

January 2022: MQP Enrollment Available Jan. 31

Effective Jan. 31, eligible individuals will be able to enroll in the new Maintaining Qualifications Program (MQP) via FinPro. Detailed enrollment instructions will be made available in FinPro, and more information is on the Maintaining Qualifications Program (MQP) page.

Note for firms: Firms are not required to facilitate or otherwise support the MQP Program, but registration compliance staff should be aware that FINRA is communicating via email and postcard with individuals who may be eligible. 

September 2021: Optional CE Notifications and Form U4 E-Signature Feature Available in FinPro

Effective Sept. 25, firms can now enable two new optional features in FINRA Gateway’s Firm Settings. Registered securities professionals with FinPro accounts can now receive auto-generated email reminders about their regulatory element CE requirement as well as electronically sign their Form U4 filings.

See the following pages to learn more: 

Note: FinPro users are no longer able to type their names in the signature fields with the Allow Rep Edits feature. Firms must now enable the E-Signature feature to grant FinPro users access to the signature page. See the Form U4  page for more information.

December 2020: Form U4 Collaboration Exclusively in FinPro April 2021

Effective April 2021, Form U4 collaboration through the Allow Rep Edits feature will be performed exclusively in FinPro. The Anonymous CRD Registered Representative site will be retired in tandem with Form U4 filing functionality in Classic CRD.

SEE THE FORM U4 PAGE FOR MORE INFORMATION

November 2020: Continuing Education (CE) Platform Exclusively in FinPro

All Regulatory Element CE sessions for registered representatives are conducted exclusively via FinPro as of Nov. 9. See the CE in FinPro page for additional information.