FINRA Form U4 Data

FINRA Form U4 Data

Before we can get you registered as an Investment Advisor Representative (IAR), the firm's Chief Compliance Officer must complete the Form U4 and submit these details to FINRA.

The below data is required in order to complete your profile within FINRA's reporting system.

We will also use this data to complete and maintain your form ADV Part 2B. At least annually we will need to resubmit and verify the accuracy of this form.
Your Name*

First NameMiddle InitialLast Name
Email*
example@example.com
Home Address*

Street Address

Street Address Line 2

CityState / Province

Postal / Zip Code
Date of Birth*

MonthDayYear
Social Security Number*
Formal education beyond high-school*
Please include Degree, Subject, and Institution
5 year residence history*
Please include a 5 year history including address and Mo/Year
10 year employment history*
In the below section of this Form, you are asked to provide personal identifying information as required by FINRA to be recorded in the IARD system. These details have zero bearing on your employment with Core Planning and will only be used to complete your securities registration.
State of Birth*
Province of Birth ( type N/A if not applicable )*
Country of Birth*
Sex*
Hair Color*
Eye Color*
Height*
Weight*
In the below section of this Form, we ask for information about your disciplinary history.

We use this information to determine whether or not there is a reportable event when submitting and maintaining your registration.

Securities regulation requires that we disclose information about certain criminal charges and convictions, including disclosure of all felony convictions and certain misdemeanor convictions.

If there are any "Yes" answers below, the Chief Compliance Officer (CCO) may request additional details.
In the past 10 years, have you been charged with, been convicted of, or pled guilty or no contest to any felony?*
If you answered Yes, please provide details.
In the past 10 years, have you been charged with, convicted of, or pled guilty or no contest to a misdemeanor involving: investments or an investment related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?*
If you answered Yes, please provide details.
Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you to have made a false statement or omission? (2) found you to have been involved in a violation of SEC or CFTC regulations or statutes? (3) found you to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted? (4) entered an order against you in connection with investment-related activity? (5) imposed a civil money penalty on you, or ordered you to cease and desist from any activity?*
If you answered Yes, please provide details.
Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you to have made a false statement or omission, or been dishonest, unfair, or unethical? (2) ever found you to have been involved in a violation of investment-related regulations or statutes? (3) ever found you to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted? (4) in the past 10 years, entered an order against you or in connection with an investment-related activity? (5) ever denied, suspended, or revoked your registration or license, or otherwise prevented you by order from associating with an investment-related business or restricted your activity?*
If you answered Yes, please provide details.
Has any self-regulatory organization or commodities exchange ever: (1) found you to have made a false statement or omission? (2) found you to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)? (3) found you to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted? (4) disciplined you by expelling or suspending you from membership, barring or suspending you from association with other members, or otherwise restricting your activities?*
If you answered Yes, please provide details.
Has an authorization to act as an attorney, accountant, or federal contractor granted to you ever been revoked or suspended?*
If you answered Yes, please provide details.
Has an authorization to act as an attorney, accountant, or federal contractor granted to you ever been revoked or suspended?*
If you answered Yes, please provide details.
Has any domestic or foreign court: (1) in the past 10 years, enjoined you in connection with any investment-related activity? (2) ever found that you were involved in a violation of investment-related statutes or regulations? (3) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you by a state or foreign financial regulatory authority?*
If you answered Yes, please provide details.
Are you now the subject of any current civil or regulatory proceeding(s) that could result in a "yes" answer to any part of Items in this Form?*
If you answered Yes, please provide details.
Signature*
Please verify that you are human*
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