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Financial Professional Gateway – Former Reps

Individuals who are not currently registered with a broker-dealer can do the following in FinPro:

  • View your CRD record
  • Review and download the last Form U5 filed on your record
  • Update your residential address

More features are under development. We will announce new features on this page as they are released.

Note: Securities professionals who do not possess a US SSN are not currently able to create a FinPro account. Please contact the FINRA Gateway Call Center at (240) 386-4040 to request a hard copy Change of Address form and/or Snapshot report.