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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
  • 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 and electronically sign Form U4 (firm must enable Allow Rep Edits and/or E-Signature features in FINRA Gateway)
  • Schedule an exam
  • Take your CE session
  • Review and download the last Form U5 filed on your record
  • Receive email notifications when a new Form U5 is filled
  • Receive email reminders about your regulatory element CE requirement (firm must enable CE Notification feature in FINRA Gateway)

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