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A Rev. Form U4 is known as a Uniform Applications for Securities Industry Registration or Transfer. This form is used by broker-dealers, investment advisors, and issuers of securities in order to become registered. The form can be mailed to the appropriate agency or it can be filed online.
This form will require personal information, such as full name, address, and social security number. The employment address is also needed. The second section of this form will involve fingerprinting. You will need to have your fingerprints on file before you can complete this form. In some cases, you can get an exception to the fingerprinting process. You will need to include your exception proof with this document in order for it to be recognized.
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