Comments on: Form U4 and Form U5 | Information About the Uniform Registration Forms for Broker-Dealers and Investment Advisors http://www.hedgefundlawblog.com/form-u4-and-form-u5-information-about-the-uniform-registration-forms-for-broker-dealers-and-investment-advisors.html Blogging on hedge fund laws, starting a hedge fund, news and events... Thu, 05 Jan 2012 15:32:15 +0000 hourly 1 http://wordpress.org/?v=3.3.1 By: Dusela http://www.hedgefundlawblog.com/form-u4-and-form-u5-information-about-the-uniform-registration-forms-for-broker-dealers-and-investment-advisors.html/comment-page-1#comment-5880 Dusela Tue, 25 Jan 2011 19:03:58 +0000 http://www.hedgefundlawblog.com/?p=2242#comment-5880 Richard is specifically NOT asking about the FINRA BrokerCheck as this is a summary and not a full disclosure. Can anyone assist ? Richard is specifically NOT asking about the FINRA BrokerCheck as this is a summary and not a full disclosure. Can anyone assist ?

]]> By: Bella http://www.hedgefundlawblog.com/form-u4-and-form-u5-information-about-the-uniform-registration-forms-for-broker-dealers-and-investment-advisors.html/comment-page-1#comment-4131 Bella Mon, 08 Feb 2010 23:25:52 +0000 http://www.hedgefundlawblog.com/?p=2242#comment-4131 From FINRA BrokerCheck FAQ: How can I request a BrokerCheck Report? You can request a BrokerCheck report from FINRA in any of the following ways: Visiting BrokerCheck at www.finra.org/brokercheck; Calling the BrokerCheck toll-free Hotline at (800) 289-9999 (800) 289-9999; Submitting a request via U.S. mail or fax. The BrokerCheck mailing address and fax number are: FINRA BrokerCheck P.O. Box 9495 Gaithersburg, MD 20898-9495 Fax: (240) 386-4750 From FINRA BrokerCheck FAQ:

How can I request a BrokerCheck Report?

You can request a BrokerCheck report from FINRA in any of the following ways:

Visiting BrokerCheck at http://www.finra.org/brokercheck;

Calling the BrokerCheck toll-free Hotline at
(800) 289-9999 (800) 289-9999;

Submitting a request via U.S. mail or fax. The BrokerCheck mailing address and fax number are:

FINRA BrokerCheck
P.O. Box 9495
Gaithersburg, MD 20898-9495
Fax: (240) 386-4750

]]> By: Series 79 Opt In Period Begins — Hedge Fund Law Blog http://www.hedgefundlawblog.com/form-u4-and-form-u5-information-about-the-uniform-registration-forms-for-broker-dealers-and-investment-advisors.html/comment-page-1#comment-3399 Series 79 Opt In Period Begins — Hedge Fund Law Blog Mon, 02 Nov 2009 09:49:47 +0000 http://www.hedgefundlawblog.com/?p=2242#comment-3399 [...] Series 7’s will need to talk with their compliance department who will be able to complete a Form U4 update for the rep.  According to a FINRA representative I talked with last week, the opt in [...] [...] Series 7’s will need to talk with their compliance department who will be able to complete a Form U4 update for the rep.  According to a FINRA representative I talked with last week, the opt in [...]

]]> By: Richard Dueringer http://www.hedgefundlawblog.com/form-u4-and-form-u5-information-about-the-uniform-registration-forms-for-broker-dealers-and-investment-advisors.html/comment-page-1#comment-3025 Richard Dueringer Thu, 24 Sep 2009 22:30:40 +0000 http://www.hedgefundlawblog.com/?p=2242#comment-3025 Richard Dueringer June 29, 2009 at 5:48 pm I am a financial advisor - crd #72660. How do i obtain a copy of MY OWN U-4 and U-5? I am not referring to the very brief form that is available to anyone by going into the CRD. Rather, I want the full disclosure of everything that has happened, and is recorded, on the full U-4 form that began with my first registration in 1974? Is it available to me electronically, or do I have to go thru the mail (and send money, no doubt)? richard dueringer Richard Dueringer June 29, 2009 at 5:48 pm
I am a financial advisor – crd #72660. How do i obtain a copy of MY OWN U-4 and U-5?
I am not referring to the very brief form that is available to anyone by going into the CRD. Rather, I want the full disclosure of everything that has happened, and is recorded, on the full U-4 form that began with my first registration in 1974? Is it available to me electronically, or do I have to go thru the mail (and send money, no doubt)?
richard dueringer

]]> By: Series 7 Exam Overview | General Securities Representative Exam — Hedge Fund Law Blog http://www.hedgefundlawblog.com/form-u4-and-form-u5-information-about-the-uniform-registration-forms-for-broker-dealers-and-investment-advisors.html/comment-page-1#comment-2634 Series 7 Exam Overview | General Securities Representative Exam — Hedge Fund Law Blog Tue, 21 Jul 2009 10:51:59 +0000 http://www.hedgefundlawblog.com/?p=2242#comment-2634 [...] register for the exam, exam takers must complete the Form U-4 application. The sponsoring firm should then send the U-4 form along with your fingerprints, to [...] [...] register for the exam, exam takers must complete the Form U-4 application. The sponsoring firm should then send the U-4 form along with your fingerprints, to [...]

]]> By: Richard Dueringer http://www.hedgefundlawblog.com/form-u4-and-form-u5-information-about-the-uniform-registration-forms-for-broker-dealers-and-investment-advisors.html/comment-page-1#comment-2462 Richard Dueringer Mon, 29 Jun 2009 21:48:23 +0000 http://www.hedgefundlawblog.com/?p=2242#comment-2462 I am a financial advisor - crd #72660. How do i obtain a copy of MY OWN U-4 and U-5? I am not referring to the very brief form that is available to anyone by going into the CRD. Rather, I want the full disclosure of everything that has happened, and is recorded, on the full U-4 form that began with my first registration in 1974? Is it available to me electronically, or do I have to go thru the mail (and send money, no doubt)? richard dueringer I am a financial advisor – crd #72660. How do i obtain a copy of MY OWN U-4 and U-5?
I am not referring to the very brief form that is available to anyone by going into the CRD. Rather, I want the full disclosure of everything that has happened, and is recorded, on the full U-4 form that began with my first registration in 1974? Is it available to me electronically, or do I have to go thru the mail (and send money, no doubt)?
richard dueringer

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