We submitted our resignations and requested that our U-5's be filed. We were independent IAR at Cambridge. After I week, I inquired as to how long it would take and their reply was it can take up to 30 days to file. It is a FINRA regulation that it MUST be filed no later than 30 days. Take heed folks, this is what to expect when you align with this firm. I have never heard of it taking more than a few days anywhere else.

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Posting as :
works at
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Our U5 was processed next day when we transitioned from jones to lpl

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I don’t see the issue. Up to 30 days and no later than 30 days are the same thing

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.

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.

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