Financial Professional Gateway (FinPro)
Managing Individuals Securities Registration Information
FINRA’s Financial Professional Gateway (FinPro) provides industry professionals access to resources and tools to manage their securities registration information. Specifically, FinPro allows industry professionals to:
- View and/or confirm registration information filed in the Central Registration Depository.
- Complete and digitally sign Form U4.
- View and/or complete required continuing education (CE) learning plans and view IAR CE status.
- Obtain electronic Form U5 filings upon termination from a broker-dealer or investment adviser firm.
- Enroll in FINRA’s Maintaining Qualifications Program (MQP) and complete assigned CE learning plans.
- Enroll in the North American Securities Administrators Association’s Exam Validity Extension Program (AG EVEP, IAR EVEP) and complete assigned CE learning plans.
View and/or Certify Registration Information Filed in the Central Registration Depository
Industry professionals can view their individual Central Registration Depository (CRD) records—registration, qualifications, continuing education employment and disclosure histories–in FinPro. If they are associated with a firm that has the FinPro Attestation feature enabled, they can certify whether the information is correct or needs to be updated (if required by the firm). For more information about the FinPro Attestation feature, refer to the Firm Settings Guide (PDF).
Complete and Digitally Sign Form U4
Industry professionals who are associated with firms that have enabled the Uniform Application for Securities Industry Registration or Transfer form (Form U4) Allow Rep Edits and/or E-Signature features can enter information and electronically sign a completed Form U4. For more information, refer to the Completing Form U4 in FinPro guide (PDF) and the Firm Settings Guide (PDF).
View and/or Complete Required Regulatory Element Continuing Education Learning Plans and View IAR CE Status
Registered representatives complete their prescribed Regulatory Element continuing education (CE) in FinPro. Refer to the Completing Regulatory Element CE Learning Plans in FinPro (PDF) reference guide for details. For information about the securities industry’s CE program, refer to the Continuing Education page.
Investment adviser representatives (IAR) may apply completed Regulatory Element CE sessions toward the Products and Practice component of the IAR CE requirement by paying the $18 fee ($3 per credit hour) in FinPro. Broker-dealer firms may refer to the Firm Settings Guide (PDF) and the IAR CE page on IARD.com for information on opting in to pay the fee for their representatives.
IARs can view their current IAR CE requirements and confirm completed courses have been submitted by their provider(s).
Obtain Electronic Form U5 Upon Termination from a Broker-Dealer or Investment Adviser Firm
Industry professionals can review and download the latest Uniform Termination Notice for Securities Industry Registration (Form U5) filings on their record. FinPro will also deploy an automated email notification to the personal email address on file when a new Form U5 is filed. Industry professionals who are not currently associated with a firm can update their residential address in FinPro. Refer to the Accessing Form U5 in FinPro guide (PDF) for more information.
Scheduling a Qualifications Exam
Industry professionals who have an open exam window for any exam initiated by a firm through a Form U4 filing can schedule their exam appointment via FinPro.
Enrolling in the Maintaining Qualifications Program
Eligible industry professionals can enroll in the Maintaining Qualifications Program (MQP) and complete prescribed learning plans. For guidance on how to enroll in the MQP, refer to the quick reference guide (PDF). For information about the program, refer to the MQP page.
Enrolling in the North American Securities Administrators Association’s Exam Validity Extension Program
Eligible industry professionals can enroll in the North American Securities Administrators Association (NASAA)’s Exam Validity Extension Program for broker-dealer agents (AG EVEP) and investment adviser representatives (IAR EVEP). For guidance on how to enroll, refer to the Enrolling in the MQP and/or EVEP (PDF) reference guide and the Enrolling in the IAR EVEP reference guide (PDF). For information about the program, refer to NASAA’s EVEP page.
June 2025: Modern FinPro User Interface Available
On June 26, 2025, FinPro changed from the classic to a new modern user interface. The modern user interface makes completing assignments quicker and easier for FinPro users. It features a My Task list that displays tasks on the dashboard. Support and training materials, including a suite of quick reference guides in PDF and video formats, are available in the User Support and Training and Firm Resources sections.
August 2024: Firm CE Due Date Available
Users whose firms have set an earlier completion deadline for Regulatory Element CE in the Firm Settings tool in FINRA Gateway (PDF) will see the firm CE due date displayed in the Summary and Details sections of their FinPro account. The firm CE due date is displayed in addition to the SRO completion deadline of Dec. 31. Firms can use this tool to assist in fulfilling compliance requirements in a timely manner.
May 2024: Social Login and Registration With Google Available
Users can register and login to FinPro using their existing Google account credentials. Social login makes the onboarding process easy and simplifies the authentication process by using user’s existing Google account information and credentials. This eliminates the need for maintaining an additional password, reduces password fatigue and minimizes friction while accessing FINRA's systems. For more detailed information, refer to the Creating a FinPro Account Guide (PDF).
October 2023: Enrollment for the Exam Validity Extension Program for Investment Adviser Representatives Available Oct. 30
Effective Oct. 30, eligible individuals can enroll in NASAA’s Exam Validity Extension Program (EVEP) for Investment Adviser Representatives (IAR) via FinPro. The program allows eligible individuals the opportunity to maintain their Series 65 — Uniform Investment Adviser Law Exam for up to five years in states that adopt the model rules by completing CE annually. States will select to participate in the EVEP by adopting the NASAA model rule. If an individual meets all eligibility requirements to join the EVEP, they can enroll even though their home state has not yet adopted the rule. If a jurisdiction subsequently adopts EVEP while enrolled in the EVEP, the jurisdiction will recognize the validity of the exam extension. However, if the jurisdiction does not participate in the EVEP at the time the individual reenters the industry, the exam extension will not be recognized in that jurisdiction. Individuals should consider the risk that a state(s) with which they wish to register in the future may not honor the EVEP qualification, in which case the individual may be required to pass a qualification examination to obtain registration despite participation in the EVEP. Detailed enrollment instructions are available in FinPro. Visit NASAA’s EVEP page for more information about the model rules, participating jurisdictions and FAQs.
August 2023: Enrollment for the Exam Validity Extension Program for Broker-Dealer Agents Available Aug. 28
Effective Aug. 28, eligible individuals can enroll in NASAA’s EVEP for Broker-Dealer Agents (AG) via FinPro. The program allows eligible individuals to maintain their Series 63 — Uniform Securities Agent State Law Exam for up to five years in states that adopt the model rules by completing CE annually. States will select to participate in the EVEP program by adopting the NASAA model rule. Individuals should consider the risk that a state(s) with which they wish to register in the future may not honor the EVEP qualification, in which case the individual may be required to pass a qualification examination to obtain registration despite participation in the EVEP. Detailed enrollment instructions are available in FinPro. Visit NASAA’s EVEP page for more information about the model rules, participating jurisdictions and FAQs.
Creating a FinPro Account
1. How do I register for the Financial Professional Gateway (FinPro)?
Refer to the Creating a FinPro Account guide (PDF) for guidance.
2. Why do I need to provide my Social Security number (SSN) and date of birth during login?
You are required to provide your US SSN and date of birth to help us uniquely identify you when registering for FinPro.
3. How is FINRA safeguarding my information?
FINRA is taking every measure possible to safeguard the information that you provide. It will be used for validation purposes only by matching it against CRD. Your information will be transmitted to FINRA using an encrypted connection which will ensure that your information is safe and secure.
4. How do I verify my identity if I do not have a Social Security number (SSN)?
Individuals without a US SSN will be prompted to enter their individual CRD number instead.
5. How is FINRA using my email address?
FINRA sends any email necessary to create and maintain your FinPro account to your personal email address. FinPro may also send automated email notifications related to your industry record. We recommend providing a personal email that you will retain access to if you switch companies or leave the industry.
6. What email address will send me FinPro information?
When a new account is created, you will receive an email from [email protected]. Please update your email spam filters to ensure that you receive all necessary emails.
7. Why do I need to select the "I am not a robot" option on the screen?
The reCAPTCHA software confirms that an actual person, rather than a robot, is attempting to register for the system. Users must identify a common object among several pictures. If the object in the pictures is not easily identified, select the refresh button until a familiar object is presented. There is also an audio option available.
Updating Your Information
1. Where does the information displayed in FinPro come from?
The information found in FinPro comes from the Central Registration Depository (CRD).
2. How do I change or update my email address associated with my FinPro account?
Log in to FinPro at https://finpro.finra.org.
If you do not see a task to confirm your email address(es), click on your initials in the upper right corner of the page, then select My Account to access your contact information.
In the Personal Profile section, click the pencil icon next to the email address you wish to edit and then confirm.
3. How do I change or update the information in my personal FinPro record?
Please contact your firm’s compliance department and work with your firm to submit the information on the appropriate form filing.
If you are not with a firm, you can update your residential information within FinPro. Formerly registered representatives are required to inform FINRA of any residential address changes for at least two years after their last FINRA registration is terminated.
Identity Verification Process
1. What is the identity verification process?
The online identity verification process ensures that an individual attempting to register for a user ID and password is, in fact, who they claim to be. This process protects individuals against unauthorized access to their information.
2. What can I expect during the identity verification process?
The system will offer some or all of the following verification options, depending upon the information available to TransUnion for a particular individual:
key in a one-time passcode delivered to a personal cell phone via call or text, or
answer several multiple-choice questions based on your personal information
The system will prompt you to contact the FINRA Support Center at (240) 386-4040 if neither option is available.
3. Why didn’t the system offer the one-time passcode options?
A passcode can only be sent to a phone number that TransUnion identifies as belonging to the registering individual. There are two reasons a passcode may not be offered:
a personal phone number was not provided when completing the FinPro account profile, or
TransUnion cannot confirm that the phone number provided belongs to the registering individual.
4. Why were security questions not offered to me as an option to verify my identity?
TransUnion can only offer security questions if there is sufficient personal information available to generate them.
5. What kind of questions might I be asked?
You may be asked questions about yourself, people you know, places you have lived or worked, etc. The requested information (addresses, individual names, etc.) may not be related to the specific account(s) held at your financial organization.
One or more questions may refer to items that do not match your personal history, or the answers may not align with your personal history. These questions are intentionally included to prevent unauthorized users from accessing your FinPro information; choose None of the Above as your response when appropriate.
6. What does FINRA do with the answers to the questions I am asked?
The specific questions and answers are encrypted for your protection and not stored in any of FINRA's systems. This ensures that your privacy is protected.
7. What happens if I fail the identity verification?
If you fail the identity verification process, please contact the FINRA Support Center at (240) 386-4040.
8. The questions that I answered were inaccurate or incorrect. What are my options?
If you believe that the questions provided are inaccurate, please contact TransUnion customer support at (800) 813-5604.
Technical Support and Troubleshooting
1. What should I do if I get a "System Error" message?
A System Error message indicates that something unexpected has happened while using the program. Please verify that you have internet access, and then close your browser. Restart your browser and log back in to the program. If the error persists, please contact the FINRA Support Center at (240) 386-4040.
2. What should I do if I get a "System Is Currently Unavailable" message?
A System Is Currently Unavailable message indicates scheduled downtime for system maintenance. You should try again later. Please restart your browser and then log back in to your session. Check the System Status page for updates. If the error persists, please contact the FINRA Support Center at (240) 386-4040.
3. What are the hours of operation for call support at FINRA?
FINRA Support Center is available at (240) 386-4040 during core business hours, Monday through Friday from 8 a.m. to 8 p.m. Eastern Time.
This page provides an overview of support resources available to FinPro users (industry professionals). For information available to firm compliance professionals, refer to the Firm Resources page. For answers to frequently asked questions about FinPro, see the FAQ page. For information about FinPro functionality enhancements and changes, refer to the Announcements page.
Quick Reference Guides
Refer to the quick reference guides for instructions on how to use FinPro.
Video Guide: Introduction to the New FinPro User Interface
Watch this video to familiarize yourself with the modern FinPro user interface launched on June 26, 2025.
Additional Resources
Learn about FinPro technology changes and enhancements. The page also covers changes and enhancements made to other FINRA registration systems such as FINRA Gateway.
Learn about scheduled system maintenance and unexpected outages. The page covers FinPro and other FINRA registration systems such as FINRA Gateway.
Legal Information
This page provides an overview of FinPro tools and resources available to firms. For information available to FinPro users (industry professionals), see the User Support and Training section. For answers to frequently asked questions, see the FAQ page. For information about FinPro functionality enhancements and changes, refer to the Announcements page.
Firm Settings: Managing Organization-Wide FinPro Settings for Associated Persons
Firms can manage certain FinPro settings of associated persons through the Firm Settings application in FINRA Gateway. Entitled users can access Firm Settings through the Admin tab on the vertical navigation bar located on the left side in FINRA Gateway. For detailed guidance, refer to the Firm Settings user guide (PDF).
Through the Firm Settings application, firms can:
Enable or disable the registration information Attestation feature for associated employees and/or contractors. If a firm enables the Attestation feature, employees and/or contractors can confirm in FinPro whether the registration information on their Central Registration Depository (CRD) record is correct or needs to be updated. Firms can monitor FinPro Attestation statuses of associated persons by using the FinPro Access Report template available in the Reports application in FINRA Gateway. For guidance on how to use the template, refer to the Tracking FinPro Attestations reference guide.
Enable or disable the E-Signature feature on Form U4 filings for employees and contractors. When firms enable the E-Signature feature, employees and contractors can digitally sign Form U4 in FinPro. Firms also have the option to Allow Rep Edits on Form U4 filings. When this feature is enabled, associated persons can digitally enter information in Form U4 in FinPro. Firms can enable or disable Allow Rep Edits within draft Form U4 filings in FINRA Gateway—not in the Firm Settings application.
Control Continuing Education (CE) Notifications sent to employees and contractors. The feature enables firms to set a custom firm Regulatory Element CE due date—earlier than the annual SRO CE due date of Dec. 31. When a firm CE due date is set, associated persons will see both the firm and the SRO CE due date in FinPro. Additionally, the feature enables firms to prompt FinPro to send automated CE due date reminder emails and CE status change emails in various time increments to associated persons. Firms can choose whether a copy of these email notifications is sent to a firm contact.
Opt in or opt out of paying the IAR CE Products and Practices Fee for associated persons. When a firm opts in, they will pay $18 per representative from their Flex Funding account for completed Regulatory Element CE which may be applied to fulfill the six credits of the IAR CE Products and Practice requirement for dually registered representatives. For more information, refer to the sections about the Products and Practice component of IAR CE model rule on the IAR Continuing Education FAQ page on NASAA’s website.
Allow Rep Edits: Enabling Associated Persons to Enter Information into Form U4
Firms can enable associate persons to enter information into Uniform Application for Securities Industry Registration or Transfer (Form U4) in FinPro by enabling the Allow Rep Edits feature in the Form U4 in FINRA Gateway. Firms can provide access to select sections or all sections of the Form U4. Firms can access filings and track the associated person’s progress. Only the firm can submit a completed Form U4 to FINRA. Note that the Allow Rep Edits feature is separate from the E-Signature feature, which enables firms to allow associated persons to digitally sign Forms U4. Firms can control the E-Signature feature through the Firm Settings application in FINRA Gateway. For detailed information on the Allow Rep Edits feature, refer to the Filing Form U4 in FINRA Gateway (PDF) quick reference guides.
FINRA Gateway Reports: Monitoring and Analyzing FinPro Activities
Firms can use several templates available in the FINRA Gateway Reports application to monitor and analyze FinPro activities pertaining to their organizations’ associated persons. Entitled users can access the report templates through the Reports tab on the vertical navigation bar located on the left side in FINRA Gateway. For more information about the FINRA Gateway Reports application, refer to the FINRA Gateway Reports page on FINRA’s website and the user guide (PDF).
Firms can utilize FINRA Gateway Reports templates to:
Monitor FinPro Account Activity and Attestation Statuses of Associated Persons
To monitor and analyze associated persons’ FinPro account activity, firms can use the FinPro Access Tracking report template. The template only includes associated persons who have a FinPro account. Default data columns include the date the FinPro account was created, the date the individual last accessed FinPro, the latest attestation status date and attestation history data. For detailed guidance on how to use the FinPro Access Tracking template to monitor FinPro Attestations, refer to the Tracking FinPro Attestations reference guide.Monitor Statuses of Digitally Signed Forms U4 of Associated Persons
To monitor the status of digitally signed Form U4 filings, firms can use the E-Signature Tracking report template. The template includes an audit trail of e-signature workflows and helps monitor procedures for capturing digital signatures from associated persons.Monitor FinPro Notifications Sent to Associated Persons
To monitor automated FinPro notifications sent to associated persons, including optional Regulatory Element CE notifications, firms can use the Notifications Tracking report template. More information about FINRA system notifications is available on the Notifications From FINRA Systems page.