Series 27: Form U4

Taken from our Series 27 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 an

Since you're reading about Series 27: Form U4, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 27
Please Enable Javascript
to view this content!