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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.