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Guide to a Cleaner Form U4

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Can I remove this criminal record information from my Form U4?
Does this old customer complaint have to remain on my Form U4?
Can I get rid of a termination notice from a former firm that is on my Form U4?
What about these old financial disclosures of judgments or liens – can they come off my Form U4?

We are often asked these questions and more by financial advisors wondering if there is anything they can do to clean up a negative disclosure on their Form U4.

The short answer is that it may be possible to clean up a bad disclosure on the Form U4 by either:

  • having it removed from CRD altogether,
  • getting it put in archived status so that it does not appear to the public, or
  • rewording the disclosure and adding a carefully written broker comment so as to put the event in the proper context and work to minimize the negative consequences of the disclosure as much as possible.

To help financial advisors facing the challenge of cleaning up their Form U4, we've developed The Financial Advisor's Guide to a Cleaner Form U4, that provides answers to five frequently asked questions we receive from advisors. The free guide also provides answers to four questions that advisors SHOULD be asking about their Form U4, but often don't.

To claim your copy of The Financial Advisor's Guide to a Cleaner Form U4 sign up with your name and email address above, and we'll get it out to you.

Then, when you're ready to talk to an experienced regulatory attorney about your situation, we invite you to contact us and schedule an initial consultation for a nominal fee, to discuss your disclosure obligations and what actions may be appropriate, if any, to help you clean up your Form U4.

Contact us Today

To discuss your situation and see how we might be of assistance, contact us today.

Lawrenceville Office
2090 Sugarloaf Parkway, Suite 135
Lawrenceville, GA 30045