Series 24: Form U4

Taken from our Series 24 Online Guide

Form U4

This form must be filed for each of the broker-dealer’s registered employees. Form U4 contains detailed personal information including:

  • physical characteristics (i.e., height and weight, hair and eye color)
  • residential history
  • employment history and other businesses
  • criminal history
  • civil judicial proceedings
  • bankruptcy judgments and liens
  • customer complaints
  • prior terminations due to improper behavior
  • financial disclosures such as bankruptcy proceedings

Whenever any of this information changes, such as a changed residence or a customer complaint, the employee and the member f

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