Individual Registration

You must be registered with FINRA if you’re engaged in the securities business of your firm, which may include brokers, salespersons, branch managers, department supervisors, partners, officers and directors. Individual registration requirements include passing the appropriate qualification exams for specific registration categories, completing prescribed continuing education annually and submitting fingerprint cards.

Register a New Individual

Member firms must register associated persons by filing a Form U4 (Securities Industry Registration or Transfer) through FINRA Gateway.

Updating an Individual's Registration

Firms and registered individuals have a continuing obligation to update or amend Form U4 no later than 30 days after learning of the facts or circumstances giving rise to the amendment.

Terminate an Individual's Registration

Firms must file a Form U5 within 30 days of the termination date and provide the individual with a copy for their personal records. The form indicates the employment end date and the reason for the termination. Some individuals may continue working for the firm in a non-registered capacity after the submission of a Form U5. 

Renew an Individual's Registration

Firms are required to renew the individual’s FINRA, other self-regulatory organizations and state/jurisdiction registrations  annually.

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