If you need to make changes to your Form U4 — whether it’s updating your address, reporting a new outside business activity, or updating a disclosure — follow this step-by-step process to make sure it’s handled quickly and correctly:
In the description, make it clear you're requesting a U4 amendment and give as much context as you’re able.
<aside> <img src="notion://custom_emoji/121a24a9-b4ae-4900-b905-de253f1e73dc/1624622c-56ca-8074-9822-007a2541cce8" alt="notion://custom_emoji/121a24a9-b4ae-4900-b905-de253f1e73dc/1624622c-56ca-8074-9822-007a2541cce8" width="40px" />
Please note: if your U4 amendment is relating to a new outside business activity or other disclosure requiring a pre-approval, please first submit that approval request through Hadrius.
Please contact the CCO if you have any questions.
</aside>
Once your request is received, the CCO will unlock a U4 draft for you to edit.
You’ll get confirmation once your U4 draft is open and ready for you to make edits.
Use your FINRA FinPro login to access your U4.
If you're new to FinPro, make sure your account is active and linked to your current CRD record.
🔷 how to [ access FinPro ]
Once logged in: