Transcription of UNIFORM APPLICATION FOR SECURITIES INDUSTRY …
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Example: bachelor of science
UNIFORM APPLICATION FOR SECURITIES INDUSTRY …
Rev. Form U4 (05/2009) UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER INDIVIDUAL NAME: INDIVIDUAL CRD #: firm NAME: firm CRD #: Page 1 of 40 1. GENERAL INFORMATION FIRST NAME: MIDDLE NAME: LAST NAME: SUFFIX: firm CRD #: firm NAME: EMPLOYMENT DATE(MM/DD/YYYY): firm Billing Code: INDIVIDUAL CRD #: INDIVIDUAL SSN: Do you have an independent contractor relationship with the above named firm ?: O Yes O No Office of Employment Address: ORegistered ONon-Registered CRD BRANCH #: NYSE BRANCH CODE#: firm BILLING CODE: O Located At O Supervised From START DATE: END DATE: OFFICE OF EMPLOYMENT ADDRESS STREET 1: CITY: STATE: OFFICE OF EMPLOYMENT ADDRESS STREET 2: COUNTRY: POSTAL CODE: Private Residence Check Box: If the Office of Employment address is a private residence, check this box.
not, for example, permit a broker-dealer agent working with brokerage firm A to maintain a registration with brokerage firm B if firms A and B are not owned or controlled by a common parent. Before seeking a dual registration status, you should consult the applicable rules or
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