Formerly Registered Reps

When you terminate your registration with FINRA, you remain subject to FINRA’s jurisdiction for at least two years. For example, you may be asked to provide information, documentation or to testify on the record during a FINRA examination or investigative process. Use the links to the left to learn more about your responsibilities as a former registered representative, including how to dispute information provided by your prior employer, the requirements you have after leaving your firm or the industry and the steps you need to take if you want to return to the industry. Also, be aware that any registrations which you formerly held will lapse two years from the date of termination on your Form U5, although your SIE examination will remain valid for four years from your date of termination. See FINRA’s qualification examinations FAQs page for further information.¹

As a formerly registered individual, you can easily maintain your record through the Financial Professional Gatway (FinPro). You can view your CRD record, your Form U5 and update your residential address.

Questions

If you are currently registered with a FINRA member firm, it is important that you first work with your firm (your direct supervisor or compliance department) when issues or questions arise. However, if you are unable to resolve issues or get answers to your questions please contact the FINRA Support Center at (301) 590-6500.

1 See FAQ 1.2