Series 52: 8.2.3.2. Personal History And Form U4

Taken from our Series 52 Online Guide

8.2.3.2. Personal History and Form U4

All associated persons must file a Uniform Application for Securities Industry Registration (Form U4), either as part of a firm’s initial application for FINRA membership or later upon being hired or promoted by a securities firm. Bank dealers file a completed Form MSD-4 to their appropriate regulatory agency.

Form U4 contains detailed personal information, including:

Physical characteristics (height, weight, hair, and eye color)

Residential history

Employment history and other businesses

Criminal history

Civil judicial proceedings

Bankruptcy judgments and liens

Customer complaints

Prior termination due to improper behavior

Financial disclosures, such as bankruptcy proceedings

The information submitted in the appropriate form must be materially accurate and complete. If any of the information changes, the associated person must report the change. A broker-dealer must verify the compl

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