Currently Registered Reps
For individuals who are currently registered reps or employed with a firm, you should work with your firm’s compliance department to make sure that you are properly registered, provide your firm with timely updates to your record and understand your obligations as a Registered Rep.
While your firm manages most of your information, you can use the Financial Professional Gateway (FinPro) system to review your registration and licensing information available in the Web CRD®/IARD™ systems, including employment and license examinations history, as well as view open Continuing Education requirements and collaborate with your firm on U4 filings.
You should also check FINRA’s public disclosure site, BrokerCheck, to confirm the information on your record available to the public is accurate. BrokerCheck displays information like registration and employment history, current registrations or licenses and exams passed, and disciplinary history.
This section of the website will help you understand:
- the requirements for taking qualifying exams
- continuing education
- keeping your record current
- guidance on the proper conduct of a registered representative
- information on your responsibilities to your firm and clients
Keeping Your Record Current
