Financial Professional Gateway – New and Current Reps
Individuals who are joining or currently registered with a broker-dealer can do the following in FinPro:
- View your CRD record
- Enter information in Form U4 (firm must select “Allow Rep Edits” in CRD)
- Schedule an exam
- Take your CE session
- Review and download the last Form U5 filed on your record
- Get email notifications
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 Snapshot Report.