Financial Advisors: A Guide to a Cleaner Form U4

Each week we receive a question (or more) from financial advisors interested in cleaning up their Form U4 and removing negative disclosures. In response to these frequent questions, we've prepared a free report, The Financial Advisor's Guide to a Cleaner Form U4, that answers several FAQs, and also answers questions that advisors should be asking but often are not.

Form U4 Basics: Part 6 – Disclosure Issues Beyond the Form U4

When considering disclosure obligations that you have as a financial advisor, don't limit your thoughts to just the Form U4 and the ADV. There may be other obligations including insurance commissioners' offices, insurance carriers, professional societies and more. In this short video blog, we'll discuss some disclosure obligations beyond the U4 and ADV.

Is Your Form U4 Accurate and Complete?

This year, we've received many calls from brokers with concerns about their Form U4. We get the usual calls from some who know that something should be reported but has not been, or from some wondering if an event requires disclosure. We also get calls from some who wonder if there is a way to get reported events removed from their record. Lately, though, the calls to us were triggered because the broker was informed by his or her firm that the firm will be conducting background checks on each broker, and that has many brokers anxious. In this short video, I'll help you understand why this is happening and what you may need to know about it.