Wisconsin Form U-5 is an official document used to report the termination of a securities representative in the state of Wisconsin. There are two types of Form U-5: the Uniform Termination Notice for Securities Industry Registration (UTC), and the Uniform Termination Notice for Investment Adviser Representatives (UTOPIA). The UTC is used for registered representatives of broker-dealers, and the UTOPIA is used for investment advisers. The form must be completed by the employing firm and filed with the Wisconsin Department of Financial Institutions (DFI). It includes information about the representative, such as name, Social Security number, residence address, employment dates, reason for termination, and any customer complaints, arbitration, or lawsuits. The form must be received by the DFI within 30 days of the termination date.
Wisconsin Form U-5
State:
Wisconsin
Control #:
WI-SKU-1042
Format:
PDF
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Description
Form U-5
Wisconsin Form U-5 is an official document used to report the termination of a securities representative in the state of Wisconsin. There are two types of Form U-5: the Uniform Termination Notice for Securities Industry Registration (UTC), and the Uniform Termination Notice for Investment Adviser Representatives (UTOPIA). The UTC is used for registered representatives of broker-dealers, and the UTOPIA is used for investment advisers. The form must be completed by the employing firm and filed with the Wisconsin Department of Financial Institutions (DFI). It includes information about the representative, such as name, Social Security number, residence address, employment dates, reason for termination, and any customer complaints, arbitration, or lawsuits. The form must be received by the DFI within 30 days of the termination date.
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