Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

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
  • Notify your firm when you have reviewed your CRD record, and confirm whether or not updates are needed (firm must enable Attestation feature in FINRA Gateway)
  • 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.