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FINRA

FINRA Fingerprint

Your annual renewal of your FINRA fingerprints as a broker-dealer or transfer agent is an important document that needs to be submitted. We provide fingerprinting and live scanning services to help you verify and submit crucial documents involved in renewing your FINRA registration.

Why is it important to have the FINRA card fingerprint and FINRA Live scan check?

FINRA requires all of its license holders to complete an annual renewal process for their license. It is a necessary process that needs to be completed on time for maintaining the FINRA license. This requires fingerprints from all broker-dealers to be submitted annually to meet the registration requirements.

The Securities Exchange Act of 1934 and the FBI requirements make it compulsory for all broker-dealers as well as transfer agents to submit their fingerprints every year. All the officials that have been registered with FINRA are required to perform this in order to maintain an active status for their license. If the FINRA fingerprint check is not submitted on time, the registered professional’s status will change to Inactive Status. If the process has not been completed within two years of reaching the Inactive Status, the broker-dealer or transfer agent’s registration with FINRA will be terminated. 

Organizations are responsible for submitting a new broker-dealer or transfer agent’s fingerprints for verification and compliance with FINRA guidelines within 30 days of signing as a member. The list of requirements that are necessary to be presented with the fingerprints are mentioned below. The FINRA fingerprint check and registration process also requires the payment of fees, which has to be made along with all the necessary documents.

One thing to keep in mind is that the fingerprint submission can be done only once. One cannot submit duplicate fingerprints because of some technical error on the organization’s or professional’s end with the documents submission, so they have to be very careful and ensure everything they are sending is accurate. This is why it is necessary for firms to submit all the documents required in a timely fashion when they are sending the broker’s fingerprint for registration and renewal.

Our promise

At PDX Fingerprinting, we offer Livescan fingerprinting services and ink fingerprinting along with FINRA fingerprint and FINRA live scan check services to our clients to make the application and registration process a lot easier for them. We understand that broker-dealers and transfer agents lead a very hectic professional life, and the organizations they work for need to do their due diligence when they are sending their documents. We help with the document verification process by authenticating the documents whenever necessary as well as assist the fingerprinting scanning process for our clients. Our FINRA fingerprint check services in Hillsboro, Beaverton Portland, and Lake Oswego offer ease of use to our clients as we ensure our authorized professionals provide the best customer service to anyone in need.

What are the critical documents required for making the annual FINRA Renewal?

FINRA requires its broker-dealers and transfer agents to submit a set of documents with their FINRA fingerprint check upon registration or renewal by the organization. These documents are listed below:

  • Name of the employer
  • Address of the organization
  • The employee ID at the current company
  • The CRD number of the professional, if necessary
  • The employee’s US Social Security Number if they are a citizen
  • Date of birth of the applicant
  • Place of birth of the applicant
  • The applicant’s sex
  • The applicant’s race
  • The applicant’s height
  • The applicant’s weight
  • The color of the applicant’s hair
  • The color of the applicant’s eye
  • A hard copy of the applicant’s signature
  • A hard copy of the official’s signature

FAQ

WHAT SERVICES DO WE PROVIDE AT PDX FINGERPRINTING ?

Ink & Live Scan Fingerprinting
Notary
Loan Signings
I9 Verification
Passport Photos
Apostille
Remote Online Notarization
Local Translation
Mobile Notary & Fingerprinting

We can help with services by appointment only:

Why You Need to Get Your Finra Fingerprinting Done

The purpose of this background check is to ensure that individuals who work in this industry are not criminals or have any history of financial crimes.

Which Location PDX Fingerprinting offers FINRA Fingerprint Services?

PDX Fingerprinting offers FINRA Fingerprint Services in Beaverton, Hillsboro, Lake Oswego, Portland to provide solutions at your home or place of business.