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.