FINRA Financial Professional Gateway User Guide

Financial Professional Gateway CREATING A FINPRO ACCOUNT The Financial Professional Gateway (FinPro) is a secure system for current and former registered representatives. Follow the steps within this guide to create a FinPro account to access your individual industry record and other compliance resources. ©2025. FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. Individuals, firms, and data mentioned in these materials are fictitious and are presented exclusively for purposes of illustration or example.

Copyright FINRA. June 2025 Financial Professional Gateway 2 TABLE OF CONTENTS Create Your Individual Account..........................................................................................................3 Check for Existing Accounts ..........................................................................................................................3 Using Social Login...........................................................................................................................................5 Using Your Email.............................................................................................................................................5 FINRA Confirmation Email.............................................................................................................................7 Setting Your Personalized Password..................................................................................................8 Password Activation.......................................................................................................................................8 Password Reset...............................................................................................................................................8 Log In................................................................................................................................................................9 Create Your FinPro Profile...................................................................................................................9 Log In................................................................................................................................................................9 Security Questions and Answers............................................................................................................... 10 Privacy Statement........................................................................................................................................ 10 Identifying Information............................................................................................................................... 11 Identity Verification...........................................................................................................................12 FinPro Dashboard...............................................................................................................................12 Required Profile Fields.......................................................................................................................13

Copyright FINRA. June 2025 Financial Professional Gateway 3 Create Your Individual Account If you have self-enrolled for an exam or used certain FINRA systems, you already have an account. Skip ahead to create your FinPro profile. You only need to login and create your FinPro profile. Open a new internet browser window and go to www.finra.org/finpro then click on 'Log into FinPro” button link on the right rail of the screen. On this screen Click Create Account Here Check for Existing Accounts To avoid creating a duplicate account, the process will check to ensure one with your credentials does not already exist in the system. Enter your date of birth, SSN and check the reCAPTCHA, then click on continue. If you choose to enter your CRD number instead, the system will redirect you to enter your SSN. You will not be able to proceed further and will need to contact us.

Copyright FINRA. June 2025 Financial Professional Gateway 4 If you do not have a SSN, enter your CRD number, check the reCAPTCHA, then click on continue.

Copyright FINRA. June 2025 Financial Professional Gateway 5 Using Social Login Click on Continue with Google to use social login. Note: The social login feature allows public/individual authenticated users who require an account to access FINRA’s systems to register and log in using their existing Google account credentials. Social login makes the onboarding process easy and simplifies the authentication process by using user’s existing Google account information and credentials. Using Your Email Click on continue with email to begin.

Copyright FINRA. June 2025 Financial Professional Gateway 6 Complete the form, with your name, email address and a unique user ID of your choice, or you can click on generate user ID. You are encouraged to use a personal email you can access, regardless of employer/employment status, for your primary contact. Click on Accept and Continue.

Copyright FINRA. June 2025 Financial Professional Gateway 7 Your individual account has been created. FINRA Confirmation Email You will receive an email from noreply@finra.org with your user ID. Be sure to check your “spam” or “junk” email folders and add FINRA to your email client’s safe sender list to ensure you receive future emails in your inbox.

Copyright FINRA. June 2025 Financial Professional Gateway 8 Setting Your Personalized Password Password Activation You will receive an email from noreply@finra.org to activate your password. Click on Activate Password. Password Reset Complete the fields to reset your password, then select Save.

Copyright FINRA. June 2025 Financial Professional Gateway 9 Log In Your password has been reset, click on Back to Log in to create your FinPro profile. Create Your FinPro Profile Log In Enter your User ID or personal email and password, then click on Accept and Continue. You may also click on Sign in with Google.

Copyright FINRA. June 2025 Financial Professional Gateway 10 Security Questions and Answers Select your security questions and corresponding answers, then click on Continue. Privacy Statement Read and acknowledge the FINRA Privacy Statement. You must click on Agree to continue.

Copyright FINRA. June 2025 Financial Professional Gateway 11 Identifying Information Enter the additional information requested. Once you select Yes, enter your SSN, check the reCAPTCHA, then click on Next to proceed with the identity verification process. Note: If you have an SSN and choose to enter your CRD number, the system will redirect you to enter the SSN to proceed. If you choose not to enter the SSN you will need to contact the FINRA Support Center for assistance. You will not be able to proceed. If you do not have an SSN, you should select No, then enter your CRD number. Complete the form to verify your identity, then click on Next.

Copyright FINRA. June 2025 Financial Professional Gateway 12 Identity Verification Click Continue to proceed. Once you have been verified you will have access and be redirected to your FinPro account dashboard. FinPro Dashboard The dashboard will display your name and CRD number at the top left and your initials on the top right to confirm that it is your account.

Copyright FINRA. June 2025 Financial Professional Gateway 13 Required Profile Fields Field Notes First Name Please provide your legal first name. This field must match the information provided on registration filings submitted by your firm. Last Name Please provide your legal last name. This field must match the information provided on registration filings submitted by your firm. New User ID Click the link to the right of this field to auto-generate a unique user id for your FinPro account. Note: User credentials created by an administrator at your firm for another FINRA system cannot be used with FinPro. If you created your own credentials for another FINRA system, you may be able to use them to log in to FinPro and then update your profile. Learn more on the Request Access to FINRA Systems page. Do you have an SSN? If you have a US SSN, you are required to answer Yes. SSN If you have a US SSN, you are required to provide it in this field. Do not enter any other national identification number or random digits. If you do not have a US SSN, select No, and this SSN field will transform into a mandatory CRD# field. Various errors may appear if the SSN provided on the Create Profile screen does not match information on file in other FINRA systems. Please contact FINRA if you receive an SSN error message that you cannot resolve. CRD# If you do not have a US SSN, you are required to provide your individual CRD# instead (see screenshot below). All FinPro users must have a CRD# assigned in order to access the system. If you hold or have held approved registrations, your CRD# will be listed on your BrokerCheck report. Contact your firm or the FinPro support team if you need assistance. Date of Birth Date of birth must be entered in the format MM/DD/YYYY. Various errors may appear if the date of birth provided on the Create Profile screen does not match information on file in other FINRA systems. Please contact FINRA if you receive an error message that you cannot resolve. Residential Address • City • State • Postal Code • County Current residential address information is required. If the system cannot confirm that the details provided in these fields are geographically accurate, you will be prompted to confirm the information before proceeding. Please note that you should provide your current residential address, even if it has not yet been updated on your industry record. This information is used to verify your identity and finish creating your FinPro account. Personal Phone A personal phone number is also required and may be used to verify your identity while creating your FinPro account. Business Phone Please provide an appropriate business phone number. Personal Email Please provide a personal email address that you will maintain access to when not with a firm. This email address is used to create your account, complete password resets, and send important FinPro system notifications.