Washington Salesperson Form (U4)

State:
Washington
Control #:
WA-SKU-1523
Format:
PDF
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Description

Salesperson Form (U4) The Washington Salesperson Form (U4) is an employment form required by the Washington State Department of Financial Institutions. It is used to register employees of securities broker/dealers, investment advisers, and other related financial institutions in the state of Washington. The form is also used to notify the Department of any change in the registration status of the employee. The Washington Salesperson Form (U4) comprises two types: the "Uniform Application for Securities Industry Registration or Transfer" and the "Uniform Termination Notice for Securities Industry Registration." The Uniform Application is used to register new employees, while the Uniform Termination Notice is used to notify the Department of any change in the registration status of the employee. Both forms are available for download from the Washington State Department of Financial Institutions' website.

The Washington Salesperson Form (U4) is an employment form required by the Washington State Department of Financial Institutions. It is used to register employees of securities broker/dealers, investment advisers, and other related financial institutions in the state of Washington. The form is also used to notify the Department of any change in the registration status of the employee. The Washington Salesperson Form (U4) comprises two types: the "Uniform Application for Securities Industry Registration or Transfer" and the "Uniform Termination Notice for Securities Industry Registration." The Uniform Application is used to register new employees, while the Uniform Termination Notice is used to notify the Department of any change in the registration status of the employee. Both forms are available for download from the Washington State Department of Financial Institutions' website.

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Washington Salesperson Form (U4)