It’s very easy to obtain a Snapshot Report from CRD and IARD so that you can review and verify the information contained in those databases about you. Information in CRD and IARD may come from your Form U4, Forms U5 filed by your former firms, as well as regulatory disclosures placed by FINRA, the SEC, and state securities commissioner offices.
Making sure that the information in CRD/IARD about you is important to avoid regulatory issues and sanctions, and to make the hiring/recruiting process to another firm go more smoothly, among other things.
To obtain your Snapshot Report, click here to access the request on FINRA’s website.
It is a good idea to review your Snapshot Report periodically. Remember, if you find something inaccurate, work to get it corrected. If you have questions about information in your CRD or IARD record, contact us. We’ll be happy to chat and see if we can help.