FINRA Fingerprinting Solutions

If a large GDC is anticipated from arrival of experienced producers bringing wealthy clientele, or a group of new registered reps is assembling for training, you don't need fingerprinting delays interrupting the cash flow, such as...

Delays from slower processing/handling/mailing of fingerprint cards.
Delays from requring recruits to "go get their own" fingerprints.
Delays from outside services like police or scanning centers that just make cards.
Delays from rejection do-overs, appointment cancellations, etc.
Delays caused simply by FINRA handling physical fingerprint cards instead of electronic submission.

FINRA has approved a new method that expedites the printing of your new high producers anywhere in the field, and of your small groups right at your office, ON YOUR SCHEDULE of RIGHT NOW. Enjoy the speed and legibility of electronic transmission without buying a machine, and without risking the imposter fraud FINRA warned about in NASD Notice 05-39.

Read on.

The Issues

When a large book of business is being transferred client by client, everyone is under the gun. It's easy for the 30 days allowed after U-4 filing to pass by unnoticed. If anything delays FINRA getting the prints, cash flow is interrupted.

There is even more risk, recognized in FINRA (NASD) Notice to Members 5-39. It warns about imposter fraud when sending recruits "out" to police stations or to untrained service center attendants for fingerprinting. The notice implies it it occurs it's YOUR FAULT. How can you keep fingerprinting in-house, while recruiting reps in distant states?

National Fingerprint has the next best thing to walking the prints right up to FINRA's front door: Recruiters take prints at the interview, or compliance officers send the NFp Concierge out to the experienced producer's office. Either way, you know it's done right, done well, and done now..

Two Great Ideas...

For independent Broker-Dealer recruiters interviewing prospective registered reps: Capture the prints during the interview for no-delay fast fingerprint checks.

Introducing NFp "FINRA 6-Pack." Let your recruiters capture prints during the interview!
Just $249-Prints Six

Your compliance officer purchases Packs in our new "FINRA 6-Pack". It prints six candidates for only $41.50 each.
Recruiters register at trustedobserver.com and become "Trusted Observers™."
At the interview, recruiters guide applicants' use of Self-Capture™ Packs.
Having witnessed and collected the prints, the recruiter's signature assures FINRA and NFp the prints are genuine and no imposter fraud occurred.
Prints reach the NFp lab next day for transmission to FINRA the same night..
Your firm and your new reps start making money sooner.
The six-Pack includes the one-time FINRA setup form (which you can also find here. Sign and fax to 509-757-7619, mail original to FINRA address on form).

For wire-house compliance officers meeting tight deadlines to activate high-dollar producers: Get fingerprints done for sure, done now, done well, and done once.

Send out the National Fingerprint Concierge to meet your rep or advisor ASAP:
$229 Complete

Our concierge, a notary Trusted Observer trained and equipped to execute biometric self-capture™, calls your new rep or advisor ang gets 80 print specimens ASAP for the NFp lab to select and transmit to FINRA as soon as overnight.:

Anywhere in the USA
Any time, day or evening
Experienced inspection of credentials and strong chain of custody that satisfy FINRA.
Original of your signed setup form advises FINRA to expect electronic prints from NFp on your behalf.
Download PDF here, sign and fax to 509-757-7619, mail original to FINRA address on form.

Take advantage of the easiest, most convenient way to fingerprint for FINRA. The National Fingerprint Concierge.

Important Notes

*Payment is made via PayPal or major credit card at time the order.

FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. National Fingerprint, Inc. is approved for electronic submission to FINRA, but is not affiliated with the organization.