Knowledge Base

Is the information on the Form U4 available to the public?

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The Investment Adviser Public Disclosure (“IAPD) database allows public users to search for investment adviser representatives. The information published by the IAPD about the investment adviser representative includes qualifications, such as licenses, professional designations, and any exams passed; previous employment, including a list of firms where the investment adviser representative was previously registered, as well as any employment within the last ten years both inside and outside the securities industry; and a disclosure section which details any customer disputes or disciplinary events on the investment adviser representative’s record.  The published information about the investment adviser representative is obtained through Form U4.  Both the investment advisor firm and investment adviser representative are required to ensure the information on the Form U4 is accurate and up-to-date.

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