Series 26: Form U4

Taken from our Series 26 Online Guide

Form U4

This form must be filed for each of its registered employees. Form U4 contains detailed personal information including:

  • Physical characteristics
  • 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 cha

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