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What information does an Investment Adviser Representative include on his or her Form U4?


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The following is a list, not necessarily in order of the form, of information that needs to be provided by the investment adviser representative when completing a Form U4:

  • Full name, any previous names, and any name changes (usually applicable when filing an amendment) of the investment adviser representative;
  • Start date of the investment adviser representative’s investment advisor firm;
  • Physical description of the investment adviser representative;
  • Employment history of the investment adviser representative for past 10 years;
  • Residential history of the investment adviser representative for the past 10 years;
  • Any outside business activity information of the investment adviser representative;
  • Fingerprint filing requirements;
  • Jurisdictions/states where individual is registering as an investment adviser representative;
  • Any professional designations of the investment adviser representative;
  • Any affiliation that the investment adviser representative has with broker-dealers or other investment advisor firms;
  • Any “yes” answers/disclosure events by the investment adviser representative (as described below); and
  • Signature of the investment adviser representative submitting the Form U4 and designated officer at the investment advisor firm.

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