Updating a Form U4

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 ban