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 changes, such as a changed residence or a customer complaint, the employee and the member firm both have a responsibility to