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Financial Professional Gateway – Firm Resource

Additional features are under development, some of which firms can customize or authorize their registered representatives to use. Learn more on this page about how current FinPro tools support your firm’s compliance needs.

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FinPro Advantage

FinPro empowers your compliance program to:

  • Work smarter, not harder. Self-service tools allow reps to access their information on their own.
    • Reps can access FinPro 24/7.
    • The FinPro support team answers questions and offers system support, both over the phone and through email, from 8 a.m. to 8 p.m., Eastern Time, Monday through Friday.
  • Streamline communication. FinPro and CRD share the same information gold source.
    • No need to transfer information or onboard a new compliance system.
    • Rest assured that the information reps see in FinPro is accurate and up-to-date.
  • Minimize delays and penalties. FinPro users are better equipped to complete a required filing update or regulatory task. This affords your compliance team more working time while also reducing the probability of incurring fees or other regulatory penalties.

What can be done through FinPro today?

Ask your onboarding and associated reps to join FinPro so that:

  • Reps can review their CRD record (during the annual Renewal Program or your firm’s annual attestation period),
  • Reps can complete their part of the U4 (when granted “allow rep edits” access to a draft filing),
  • FINRA can notify reps via email when a new Form U5 is available for review and download in FinPro.

What’s in the future for FinPro?

The following are some of the features under consideration for future enhancements:

  • Configuration controls so firms can customize the features available to their representatives.
  • Notifications from regulators and firms through FinPro.
  • Enable representatives to initiate draft filings and transmit to their firm for review and submission.
  • Representative attestation that their record information is accurate and complete.
  • Electronic signature capability on individual form filings (Form U4, U5, etc.).
  • Direct payment of representative-related fees to FINRA.
  • Real-time updates that allow representatives to see current statuses.

Onboarding Resources

FINRA has developed the materials below to help your firm communicate with your associated individuals about FinPro:

Does your firm need assistance with rolling out FinPro to your reps? We can help. Please contact us for more information.

Questions or Suggestions? Contact Us!

We want to hear from you.  Please send us your thoughts about how we can make FinPro more beneficial, simpler to use, or any other idea you may have.