Related Posts
Why People Are Quitting Their Jobs

Additional Posts in Finance
Best GMAT study plan?
New to Fishbowl?
Download the Fishbowl app to
unlock all discussions on Fishbowl.
unlock all discussions on Fishbowl.
Why People Are Quitting Their Jobs

Best GMAT study plan?
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.
Download the Fishbowl app to unlock all discussions on Fishbowl.
Copy and paste embed code on your site

Scan your QR code to download
Fishbowl app on your mobile

Our U5 was processed next day when we transitioned from jones to lpl
I don’t see the issue. Up to 30 days and no later than 30 days are the same thing
Rising Star
You can still get registered with your new firm while you are waiting for them to U5 you. This isn’t a big deal at all. You can also login to your own Finpro account and U5 yourself if you are really really worried about it.
Rising Star
Finpro is like the individual persons version of CRD. It’s where you go and do CE. Finra could have converted it to gateway when they did an update though. I don’t know step by step on how to file your own U5 but I know it’s possible. The person I replaced at my current firm filed his own.