The New Jersey investment adviser representative (IAR) registration is completed on Form U4, the Uniform Application for Securities Industry Registration or Transfer, and filed electronically through the IARD/CRD system that the New Jersey Bureau of Securities uses to review your application. If you give investment advice for pay in New Jersey, or you work from a place of business in the state, the law says you must register before you take on your first client.
This guide walks you through the form the way someone who has filed it for 30 years would. Each year, hundreds of advisers in New Jersey file or renew through IARD, and the Bureau is strict: a late filing or a missed disclosure can trigger a deficiency letter or block your registration for weeks. Getting Form U4 right the first time is the fastest path to a clean, approved record.
Here is what you will learn in this guide:
- 📋 What Form U4 is, who must file it, and which New Jersey rules control your registration
- 🗂️ The exact documents, ID numbers, and exam proof to gather before you open the form
- ✍️ A line-by-line walkthrough of every major Form U4 section, with sample entries
- 👥 Three full real-world filing examples from start to finish
- ⚠️ The mistakes that get IAR applications held, rejected, or flagged, and how to dodge them
What Form U4 Is and Who Must File It
Form U4 is the single application that every investment adviser representative uses to register in New Jersey. The Bureau of Securities is part of the New Jersey Office of the Attorney General, and it enforces the New Jersey Uniform Securities Law (1997), found at N.J.S.A. 49:3-47 and the sections that follow. The form collects your identity, work history, exams, and any legal or financial disclosures so the Bureau can decide if you are fit to advise the public.
The law defines an IAR in plain terms at N.J.S.A. 49:3-49(s). You are an IAR if you give securities advice with direct client contact, manage client accounts, decide on recommendations, sell advisory services, or supervise other IARs. A person who only solicits or sells advisory services is treated as a solicitor and still must register as an IAR.
Two groups of advisers must register their representatives in New Jersey, and the rule splits by firm type. For a state-registered firm, any IAR with a place of business in New Jersey, and any IAR outside the state who does business with New Jersey clients, must register. For a federally registered firm that notice files with the SEC, the IAR must register only if they have a place of business located in New Jersey.
A few people are carved out. A broker-dealer or a broker-dealer agent is not an IAR under the New Jersey definition, so the U4 they file is for their brokerage role, not advisory work. Clerical and ministerial staff who never give advice do not register at all. Getting your role wrong here is costly because acting as an IAR without registration is unlawful under the Uniform Securities Law and can lead to fines and a stop order.
Before You Start: Documents and Information You Need
Open a blank page and gather everything below before you log in to IARD, because the system times out and a half-finished U4 with gaps invites a deficiency letter. The Bureau cross-checks your answers against outside databases, so every number must match your official records exactly.
- Full legal name and any other names used. The Bureau matches your name against your fingerprint and exam records, so a nickname or a missing maiden name can stall the file.
- Social Security number. This links your U4 to your fingerprint background check; a wrong digit blocks the background match and freezes the application.
- Date and place of birth. These confirm identity and must match your government ID, or the criminal history check bounces back.
- Full five-year residential history with no gaps. The form demands month-by-month addresses, and a single missing month is the most common deficiency the Bureau flags.
- Ten-year employment history. You list every job, advisory or not, and unexplained gaps trigger follow-up questions that delay approval.
- Exam proof or a qualifying designation. You need a passing Series 65, or the Series 7 plus Series 66, or a waiver designation such as CFP, ChFC, PFS, CFA, or CIC.
- CRD number, if you have one. A returning filer who opens a duplicate CRD record creates a tangled history that takes weeks to merge.
- Details of every disclosure event. Bankruptcies, liens, criminal charges, customer complaints, and terminations all need dates, dollar amounts, and outcomes ready to enter.
- Your firm’s IARD account funding. The $210 IAR fee is pulled from the firm’s IARD account, so the firm must fund it first or the filing will not transmit.
- Fingerprint plan. New Jersey uses IDEMIA for the criminal history check, so know whether you will visit a site or mail prints.
If any item is missing, the safest move is to wait and gather it. A U4 filed with blanks does not save time; it creates a record the Bureau must reject and you must refile.
Where to Get the Form and How to Access It
You do not download Form U4 as a paper document for filing in New Jersey. The official application is filed online through IARD/CRD, the Investment Adviser Registration Depository sponsored by the states and the SEC and operated by FINRA. You can read the blank form layout in FINRA’s official Form U4 PDF so you know what each section asks before you type.
Access starts at the firm, not the individual. Before any IAR can register, the investment adviser firm must already be registered or notice filed in New Jersey through IARD. The firm completes a FINRA entitlement process, names a Super Account Administrator, and funds the IARD account so fees can be drawn.
Once the firm is set up, the firm’s authorized user opens a new Form U4 inside CRD for the representative. A brand-new IAR with no prior record gets a fresh CRD number when the form transmits. An experienced IAR who already has a CRD number files through that existing record so all history stays connected.
If you are filing for yourself as a sole proprietor, you still work through the firm’s IARD account, because the U4 cannot be filed by an individual acting alone. For account help, the IARD support line is (240) 386-4848, and for New Jersey rules you contact the Bureau directly. Never start a second CRD account to “fix” a problem, since duplicate records are one of the hardest messes to untangle.
Step-by-Step: How to Fill Out Form U4 Line by Line
Form U4 is organized into numbered items, from Item 1 through the Disclosure Reporting Pages at the end. Below, each major section gets its own walkthrough in the order it appears in the form. Use the exact field names shown on the official Form U4.
Item 1: General Information (Name and Identity)
This item asks for your full legal first, middle, and last name, plus any suffix. You type your name exactly as it reads on your Social Security card, in the order the form requests, using standard capitalization rather than all caps unless the system forces it. For example, Maria Elena Lopez enters her first name Maria, middle name Elena, and last name Lopez with no abbreviations.
A common edge case is a hyphenated or recently changed name. If you married and changed your name, you enter the current legal name here and list the prior name later in the “other names” field so the records connect. The most common mistake is entering a nickname, such as Liz for Elizabeth, which breaks the match against your fingerprint and exam records and freezes the file.
People often believe the name must be in all capital letters. That belief comes from old paper forms, and on the electronic U4 you simply match your Social Security card. Getting the legal name exact matters because the Bureau cross-checks it against SSA and fingerprint data, and any mismatch holds processing.
Item 2: Social Security Number and Date of Birth
This field asks for your nine-digit Social Security number and your date of birth in MM/DD/YYYY format. You type the SSN with no spaces or dashes if the system formats it for you, and you enter the birth date as numbers, such as 03/14/1985 for March 14, 1985. These two pieces link your entire registration to your background check.
The edge case here involves an Individual Taxpayer Identification Number. If you are a foreign national without an SSN, you contact the firm and the Bureau before filing, because the standard background check process is built around an SSN. The most common mistake is a single transposed digit in the SSN, and the direct result is that the fingerprint match fails and your application sits unprocessed.
Many filers think the date of birth is a minor detail the Bureau ignores. In truth, the date of birth is part of the identity match for the criminal history background check, so a wrong year can send the whole check back. Treat both numbers as if a clerk will compare them letter by letter against your ID.
Item 3: Firm CRD Number and Employing Firm
This item identifies the investment adviser firm you will represent, using the firm’s CRD number and name. The firm’s authorized filer usually pre-fills this, and you confirm that the listed firm is the one that will employ or associate you as an IAR. For example, Maria Lopez confirms her U4 shows Garden State Wealth Advisors LLC and its correct CRD number.
The edge case is dual association. If you advise through one firm and act as a broker-dealer agent through another, each relationship needs its own filing, and you confirm the advisory firm here. The common mistake is letting the U4 transmit before the firm is registered in New Jersey, which the Bureau rejects because the firm must be registered first.
A frequent misconception is that the individual chooses the firm in the system on their own. In reality, the firm opens and controls the U4 through its IARD account, and the IAR reviews and signs it. Confirming the right firm here matters because your registration is tied to that employer and ends if the link is filed wrong.
Item 6: New Jersey Jurisdiction Registration Request
This item is where you select the states in which you seek registration, and you check New Jersey (NJ) to request IAR registration with the Bureau. You also select the proper registration category, which for an IAR is the investment adviser representative role rather than a broker-dealer agent role. For example, David Chen, who is moving from New York, adds NJ to his existing jurisdictions while keeping his prior states active.
The edge case is multi-state practice. If you advise clients in several states, you check each one, but remember New Jersey requires registration whenever you have a place of business there or do business with New Jersey clients for a state-registered firm. The common mistake is forgetting to check New Jersey at all, which means the $210 fee never posts to the state and you are not registered even though the form transmitted.
Some filers think checking a state grants instant approval. The truth is the Bureau reviews the filing and can issue a deficiency before your registration becomes effective. Selecting New Jersey correctly matters because it is the trigger that routes your application and fee to the right regulator.
Item 7: Examination Requests and Qualifying Designations
This item lets you request an exam or report exams you already passed, and it is central to New Jersey because the state requires a Series 65, or the Series 7 plus Series 66. If you still need to sit for an exam, you select it here so the fee is drawn from the firm’s IARD account and the exam window opens. For example, Aisha Bennett, brand new to advising, selects the Series 65 so she can schedule the test.
The edge case is a waiver designation. If you hold a CFP, ChFC, PFS, CFA, or CIC in good standing, New Jersey waives the exam, and you report the designation rather than requesting a test. The common mistake is requesting the wrong exam or assuming a Series 6 or Series 63 qualifies, which it does not for IAR registration, so the application stalls on an exam deficiency.
A widespread misconception is that exam scores never expire. In New Jersey, the exam result lapses after two years of non-affiliation in a registered capacity, so a long gap can force a retake. Selecting the correct exam matters because the Bureau will not make your registration effective until the exam or waiver requirement is satisfied.
Item 10 through 11: Other Business, Residential, and Employment History
These items capture your other business activities, your residential history for the past five years, and your employment history for the past ten years. You list every address month by month with no gaps, and every job with start and end dates, including work outside the securities field. For example, David Chen lists his apartment in Hoboken from 06/2021 to present and his prior advisory job from 01/2018 to 05/2021.
The edge case is a period of unemployment or schooling. You do not leave a gap; you enter “unemployed” or “full-time student” with the dates and location so the timeline stays continuous. The common mistake is a one-month gap in the address history, which is the single most frequent reason the Bureau sends a deficiency letter and delays the file.
Many filers think only securities jobs count in the employment section. The form actually wants all employment, including a restaurant or teaching job, so reviewers can see your full background. Filling these in completely matters because the Bureau reads gaps as red flags and will pause your registration until you explain them.
Items 14A through 14M: Disclosure Questions
This block asks a long series of yes-or-no disclosure questions about criminal charges, regulatory actions, civil judgments, customer complaints, terminations, bankruptcies, liens, and unsatisfied judgments. You answer each question honestly, and any “yes” requires you to complete a matching Disclosure Reporting Page. For example, David Chen answers “yes” to the financial disclosure question because he filed personal bankruptcy in 2016.
The edge case is a dismissed or expunged matter. Even if a charge was dropped, many disclosure questions still require a “yes,” so you read each question’s exact wording rather than guessing. The common and most serious mistake is answering “no” to hide a past event, because the Bureau and FINRA find it in their databases, and a false U4 can end your career and bring an enforcement action.
A dangerous misconception is that a small or old event is not worth disclosing. The form does not have a minimum threshold for most events, so even a years-old customer complaint must be reported. Answering these questions truthfully matters because honest disclosure with a clear explanation almost always processes faster than a hidden item that surfaces later.
Disclosure Reporting Pages (DRPs)
A Disclosure Reporting Page is the detailed attachment you complete for every “yes” answer in Item 14. Each DRP asks for dates, the parties involved, dollar amounts, the current status, and the final outcome of the event. For example, David Chen completes a Financial DRP showing his 2016 Chapter 7 bankruptcy, the discharge date, and the amount discharged.
The edge case is an event still in progress, such as a pending complaint. You report it as pending, give the filing date and the allegations, and then amend the U4 within 30 days once it resolves. The common mistake is a vague or incomplete DRP that omits the outcome, which forces the Bureau to ask follow-up questions and stretches the review for weeks.
Filers often believe a brief one-line note is enough on a DRP. In reality, reviewers want a clear, factual narrative that a stranger can follow without guessing. Completing each DRP fully matters because a well-documented disclosure shows candor and lets the Bureau finish its review without repeated requests.
Item 15: Signature and Individual Certification
The final item is your signature, where you certify under penalty that every answer on the U4 is true and complete. You sign electronically, which means you read the certification language and confirm it, and the firm’s authorized representative also signs. For example, Aisha Bennett checks the certification box and types her name to attest that her exam request and history are accurate.
The edge case is filing while a fact is changing, such as a job ending mid-application. You sign based on the facts as of the filing date and then amend within 30 days when the fact changes. The common mistake is signing without reading the disclosure answers, because your signature makes you personally responsible for any error, even one the firm typed.
A common misconception is that the firm bears the legal weight of the U4. The truth is the individual certification puts the duty on you, and a false statement is your liability. Signing with care matters because this attestation is the legal backbone of the whole filing under the Uniform Securities Law.
Three Filled-Out Examples Using Real Scenarios
The tables below follow three common filers through the most important parts of Form U4 for a New Jersey IAR registration.
Scenario 1: Aisha Bennett, a Brand-New IAR With No Prior Record
Aisha just finished college, joined a small New Jersey advisory firm, and has no exam or work history in securities.
| Form Section | What Aisha Enters |
|---|---|
| Item 1: Full legal name | Aisha Marie Bennett |
| Item 2: SSN and date of birth | SSN on file; 07/22/2001 |
| Item 3: Employing firm | Garden State Wealth Advisors LLC and its CRD number |
| Item 6: Jurisdiction | Checks NJ as an investment adviser representative |
| Item 7: Exam request | Requests the Series 65 |
| Item 10–11: History | Five-year address history; college job listed for employment |
| Items 14A–14M: Disclosures | All answered No |
| Item 15: Signature | Signs the electronic certification |
Scenario 2: David Chen, an Experienced IAR Transferring From New York
David already holds a CRD number, passed his exams years ago, and is adding New Jersey after a past bankruptcy.
| Form Section | What David Enters |
|---|---|
| Item 1: Full legal name | David Wei Chen |
| Item 2: SSN and date of birth | SSN on file; 11/03/1984 |
| Item 3: Employing firm | New New Jersey advisory firm and its CRD number |
| Item 6: Jurisdiction | Adds NJ to existing state registrations |
| Item 7: Exams | Reports prior Series 65 already passed |
| Item 10–11: History | Hoboken address since 06/2021; full ten-year job history |
| Items 14A–14M: Disclosures | Answers Yes to the financial disclosure question |
| Disclosure Reporting Page | Files a Financial DRP for the 2016 Chapter 7 bankruptcy |
| Item 15: Signature | Signs the electronic certification |
Scenario 3: Robert Diaz, a Sole Proprietor Advising From New Jersey
Robert runs a one-person advisory practice in New Jersey and uses a CFP designation to waive the exam.
| Form Section | What Robert Enters |
|---|---|
| Item 1: Full legal name | Robert Luis Diaz |
| Item 2: SSN and date of birth | SSN on file; 02/09/1979 |
| Item 3: Employing firm | His own registered sole proprietorship and its CRD number |
| Item 6: Jurisdiction | Checks NJ as an investment adviser representative |
| Item 7: Exam or designation | Reports the CFP designation to waive the exam |
| Item 10–11: History | Home office address; ten-year self-employment history |
| Items 14A–14M: Disclosures | All answered No |
| Item 15: Signature | Signs the electronic certification |
A note on Robert’s case: a sole proprietor who is not incorporated files a Form U4 but may not owe the separate $210 IAR fee, so he should contact the Bureau to confirm before filing.
How to File the Completed Form U4
New Jersey IAR registration is filed through one main channel, with a separate step for fingerprints. There is no mailing of the U4 itself to the Bureau, because the form transmits electronically.
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Electronic filing through IARD/CRD. The firm’s authorized user submits your Form U4 through IARD/CRD. The $210 IAR fee, plus any exam fee, is drawn automatically from the firm’s IARD account. The Bureau then reviews the filing online, and processing commonly runs a few weeks if there are no disclosures or gaps. Your proof of filing is the CRD filing confirmation and the dated record in the system.
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Criminal history fingerprint check. Every applicant must submit fingerprints for a criminal history background check through New Jersey’s vendor, IDEMIA. You first complete the Certification and Authorization Form (NJBOS Form 4) and return it to the Bureau, which then emails instructions to schedule an appointment or, if you are out of state, to mail prints. Keep your appointment confirmation and any receipt as proof.
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New Jersey supporting documents. A firm with its principal place of business in New Jersey must also send, in electronic format, a notarized financial statement, a sample advisory contract, and sample marketing materials. Out-of-state firms add a written declaration of home-state compliance. SEC-registered notice filers send only the IARD forms and fees.
If you were fingerprinted by IDEMIA or MorphoTrust after November 2003 for a prior Bureau registration, you may not need new prints, though a fresh background check still runs with each application. Applicants already cleared through a FINRA broker-dealer may not need to resubmit prints either.
What Happens After You File
After your Form U4 transmits, the Bureau of Securities reviews the application against its records and the Uniform Securities Law. The reviewer checks your identity, exam or designation, history for gaps, and any disclosures, while the criminal background result returns separately. If everything matches, your registration becomes effective and shows as approved in CRD.
If the Bureau finds a problem, it issues a deficiency notice describing what is missing or unclear. Common deficiencies include an address gap, an exam not yet passed, or a thin Disclosure Reporting Page. You respond by amending the U4 within the time the Bureau allows, and the review resumes once the fix posts.
Your registration is not permanent. It expires on December 31 each year and must be renewed, and you must amend the U4 within 30 days of any material change such as a new address, a new disclosure, or a change in jobs. Filing those amendments on time matters because a stale or false U4 violates N.J.A.C. 13:47A and can lead to a deficiency, suspension, or enforcement action.
Mistakes to Avoid When Filling Out the Form
- Leaving a gap in the five-year address history. A missing month is the top deficiency, and it pauses your entire registration.
- Entering a nickname instead of your legal name. The mismatch breaks the fingerprint and exam match and freezes the file.
- Transposing a digit in the Social Security number. The background check cannot match you, so the application sits unprocessed.
- Forgetting to check New Jersey in the jurisdiction item. The state fee never posts, so you are not registered even though the form sent.
- Requesting the wrong exam. A Series 6 or 63 does not qualify, so the Bureau holds the file on an exam deficiency.
- Answering “no” on a disclosure to hide an event. Regulators find it in their databases, and a false U4 can end your career.
- Filing a vague Disclosure Reporting Page. Missing dates or outcomes force follow-up questions and stretch the review for weeks.
- Listing only securities jobs in the employment history. The form wants all work, and gaps read as red flags that delay approval.
- Filing the U4 before the firm is registered in New Jersey. The Bureau rejects it because the firm must be registered first.
- Opening a second CRD number to fix an error. Duplicate records tangle your history and take weeks to merge.
- Signing without reading the disclosure answers. Your signature makes you personally liable for any mistake the firm typed.
- Missing the 30-day window to amend a change. A stale U4 violates state rules and can trigger a deficiency or suspension.
Do’s and Don’ts
Do’s
- Do gather every document before you open the form, because the system times out and gaps invite deficiency letters.
- Do match your name and SSN to your official records exactly, since the Bureau cross-checks both against outside databases.
- Do fill the address and job history with no gaps, because reviewers read any gap as a red flag.
- Do disclose every event honestly with full detail, as candor processes faster than a hidden item that surfaces later.
- Do confirm your firm is registered in New Jersey first, since an IAR cannot register before the firm.
- Do keep your CRD confirmation and fingerprint receipt, because they are your proof of filing.
Don’ts
- Don’t guess on a disclosure question, because the wrong answer on a certified form is your personal liability.
- Don’t use a nickname or abbreviation in your legal name, since it breaks the identity match and freezes the file.
- Don’t assume your exam score never expires, as it lapses after two years of non-affiliation.
- Don’t request an exam you do not need, because a needless test fee and delay follow.
- Don’t wait past 30 days to report a change, since a late amendment can lead to a deficiency or suspension.
- Don’t open a duplicate CRD account, as merging records is one of the hardest cleanups in the system.
Pros and Cons of Filing on Your Own vs. With Compliance Help
Many IARs file through their firm’s compliance team, while sole proprietors often file themselves. The table sets the trade-offs side by side.
| Filing on Your Own (Pro Se) | Filing With Compliance or a Consultant |
|---|---|
| Saves the cost of a consultant, which helps a one-person firm | Costs a fee, but that fee often prevents a costly deficiency |
| Gives you full control over every entry on the form | Trades some control for expert review of tricky fields |
| Builds your own knowledge of the U4 for future amendments | Relies on an expert who already knows the common traps |
| Works well when you have no disclosures and a clean history | Shines when you have disclosures that need a careful DRP |
| Can move fast for a simple, no-disclosure filing | Adds a review step, yet catches errors before they reach the Bureau |
A clean record with no disclosures is the strongest case for filing on your own, because the form is straightforward. A history with a bankruptcy, a complaint, or a termination is the strongest case for help, since a weak Disclosure Reporting Page is what stalls files the most. New entrants and sole proprietors should weigh the cost of a consultant against the cost of weeks of delay.
State-Registered Firm vs. SEC Notice-Filing Firm
New Jersey treats IARs differently depending on whether their firm is state-registered or SEC-registered, and the difference decides who must register.
| State-Registered Firm IAR | SEC Notice-Filing Firm IAR |
|---|---|
| Firm has under $100 million in assets and registers with the Bureau | Firm has over $100 million and registers with the SEC, then notice files |
| IAR with a New Jersey place of business must register | IAR must register only if they have a New Jersey place of business |
| IAR doing business with New Jersey clients must register even if out of state | An out-of-state IAR without a New Jersey office is not required to register here |
| Firm sends financial statements and sample materials to the Bureau | Firm sends only the IARD forms and fees |
This split matters because an IAR at a state-registered firm is pulled in by either a New Jersey office or New Jersey clients, while an IAR at an SEC notice-filing firm is pulled in only by a New Jersey office. Reading your firm’s status wrong leads you to either over-register or, worse, advise without the registration the law requires.
Key Fees, Deadlines, and Renewals at a Glance
The New Jersey IAR registration fee is $210 per representative per year, drawn from the firm’s IARD account, and the firm’s own registration fee is $550 per year. Registrations expire every December 31 and must be renewed through IARD during the annual FINRA renewal cycle in the fourth quarter, with no extra paperwork beyond paying the fee.
Amendments to Form U4 are due within 30 days of any material change and carry no fee, under N.J.A.C. 13:47A-3A.2. When you leave a firm, the firm files a Form U5 to end your registration, and a Form U5 withdrawal becomes effective 30 days after the Bureau receives it. Missing a renewal or an amendment deadline can lead to automatic termination, so calendar these dates the moment your registration is approved.
FAQs
Do I have to file Form U4 to register as an IAR in New Jersey?
Yes. Form U4 is the required application, filed electronically through IARD/CRD, and the firm must be registered in New Jersey before your U4 can be submitted.
Do I need to pass an exam to register?
Yes. New Jersey requires the Series 65, or the Series 7 plus Series 66, unless you hold a qualifying designation such as CFP, ChFC, PFS, CFA, or CIC.
Do my exam results last forever?
No. Your passing exam result lapses after two years of non-affiliation in a registered capacity, which can force you to retake the test before you register.
Do I write my nickname or my legal name in Item 1?
No. You enter your full legal name exactly as it appears on your Social Security card, because the Bureau matches it against your fingerprint and exam records.
Do I have to fill in every month of my address history?
Yes. The five-year residential history must have no gaps, and a single missing month is the most common reason the Bureau sends a deficiency letter.
Do I list jobs outside the securities industry in the employment history?
Yes. The ten-year employment history includes all jobs, even non-financial ones, so reviewers see a complete and gap-free timeline.
Do I report an old or dismissed legal matter in Item 14?
Yes. Many disclosure questions still require a “yes” for dismissed or expunged matters, so read each question’s exact wording before answering.
Do I have to submit fingerprints?
Yes. Every applicant submits fingerprints through IDEMIA after returning NJBOS Form 4, though those already cleared through FINRA or a recent Bureau check may be exempt.
Do I pay the $210 fee directly to the Bureau?
No. The $210 IAR fee is drawn automatically from the firm’s IARD account when the Form U4 transmits, not paid directly to the state.
Do sole proprietors pay the separate IAR fee?
No. An unincorporated sole proprietor files a U4 but may not owe the IAR fee, so contact the Bureau to confirm before filing.
Do I need to register if my firm is SEC-registered?
Yes. You must register if you have a place of business located in New Jersey, even when your firm only notice files with the SEC.
Do I amend my U4 when my information changes?
Yes. You must file a Form U4 amendment within 30 days of any material change, and there is no fee for the amendment.
Do I get instant approval once I check New Jersey in Item 6?
No. The Bureau reviews your filing and can issue a deficiency, so your registration becomes effective only after that review is complete.
Do I file a new Form U4 if I switch firms?
No. Your old firm files a Form U5 to end the registration, and your new firm files a U4 amendment or new filing to register you.
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