Series 24: Form U4

Taken from our Series 24 Online Guide

Form U4

This form must be filed for each of its registered employees. Form U4 contains detailed personal information including:

• physical characteristics
• residential history
• employment history and other businesses
• criminal history
• civil judicial proceedings
• bankruptcy judgments and liens
• customer complaints
• prior terminations due to improper behavior
• financial disclosures such as bankruptcy proceedings.

Whenever any of this information changes, such as a changed residence or a customer complaint, the employee and the member firm both have a responsibility to

+ Read More

More Series 24 Info

What are people saying?

Create an Account

Since you're reading about Series 24: Form U4, you might also be interested in:

Series 66 - Series 66 Online Guide

Series 3 - Exercise

Series 63 - Practical Application

Series 24 - Dispute Resolution Procedures

Series 28 - Other Rules Related to Net Capital

Series 53 - 2.5.1. Fair Dealing

Series 24 - Review Quiz

Series 24 - 2.1.4.1. Designation of OSJ General Securities Principal

Series 65 - 7.1.5.1.1. Market Orders

Series 66 - 6.1.3. Third Market

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I used Solomon to sit Series 24 and Series 79, passing with 81% and 88% respectively. Having looked at other material providers, Solomon stands out because of their prompt replies to student questions and the completeness of the answers provided – they are the best out there!

Chris Brice,CFA Bell Potter Cantley, Québec, Canada

I really liked the Solomon study materials. They did a really nice job of explaining the material in plain language. I have a really long commute and the audio books came in really handy!! I would recommend the Solomon study materials!

Jessie Urban, Securities America Inc, LaVista, NE

I originally started studying for the series 24 with Test Teachers... After being frustrated with confusing material, out of date information, contradicting questions/answer/study guides, I bought Solomon's practice exams... After one test, two things became clear: I was grossly unprepared for the exam The material, though difficult, didn't have to be taught in such a confusing manner.I passed the 24 on the fist time because of the quality of the practice exams from Solomon. Thank you! Putting it another way...If you are using anyone else to study, you owe it to yourself and your efforts to buy the practice exams from Solomon to get a true judge of your studying efforts.

Will, Bainbridge Island, WA

I would just like to say that Solomon’s customer service was excellent. The material was clear and easy to understand and I feel that it prepared me extremely well for my exam. I found the study outline to be the most helpful in keeping me on track. I would definitely refer the material to anyone taking the Series 24. Thank you to the Solomon team for helping me pass my 24!

Tamaqua Roland, Philadelphia, PA

I passed the 24 the first time with the help of the Solomon materials. The online course and the exams really helped focus in and clarify what was important. I've recommended them to all of my colleagues!

Corrinne Kaucher

After trying numerous study materials, Solomon was the key to pass my Series 24. The live class was a perfect complement. Thank you Karen for your assistance!

Marie, Miami, FL