Form Filing: IA Representative Registration

Web CRD allows IA firms to create and submit electronic filings of Forms U4 and U5 to fulfill the state regulatory registration requirements of investment adviser representatives (RAs). IA firms should register their IA representatives electronically on Web CRD as directed/mandated by states. Firms may also do so voluntarily. On this page are links to:

  • The current version of the Uniform Forms U4 and U5 available from the FINRA website.
  • Information regarding state participation in the electronic filing of IA representatives.
  • Information regarding filing types for individual registration.
  • User support tools available to help guide you through an Individual Form Filing.

Helpful links regarding Form Filing for investment adviser representative registration: