If you are joining a broker-dealer or another FINRA member firm, you will almost certainly be fingerprinted. The prints are sent through FINRA to the FBI for a criminal history check, and FINRA must receive them within 30 days after your firm files your Form U4. Missing that deadline can stop you from working, so it is worth getting fingerprinted in your first week.
Who needs FINRA fingerprinting?
SEC Rule 17f-2 requires partners, directors, officers and employees of member firms to be fingerprinted. There are exemptions for people who do not sell securities, do not regularly have access to securities, money or the original books and records, and do not supervise anyone who does. Your firm’s compliance team decides whether you are exempt. If they asked you for fingerprints, you are not.
What is the 30-day deadline?
FINRA must receive your fingerprints within 30 days after the Form U4 is filed. If it does not, your registration changes to “Inactive Prints” status and you must stop activities that require registration until the prints are processed. Firms can ask for an extension in writing, but they have to show good cause. Details are in FINRA’s fingerprint FAQ.
How are FINRA fingerprints submitted?
Your firm chooses the method:
- Electronically, through an approved Electronic Fingerprint Service vendor or the firm’s own Live Scan equipment.
- On a hard card, using FINRA-approved fingerprint cards that are mailed for processing.
Ask your compliance contact which method the firm uses and whether they will give you a card or a registration code before you book.
What information goes on the card?
A hard card must be complete or it will be sent back. Have this ready:
- Your firm’s name and its organization (CRD) number.
- Your own CRD number, if one has been assigned.
- Your full legal name.
- Your Social Security number, if you have one.
- Date and place of birth.
- Height, weight, hair color and eye color.
- Your signature and the signature of the person taking the prints.
How long do results take?
FINRA says the FBI typically returns results within 48 hours of submission. FINRA does not email a confirmation. Your firm sees the status in CRD, so ask compliance to confirm once the prints have posted.
What if my fingerprints are illegible?
Your firm can resubmit. After three illegible results that meet FINRA’s criteria, FINRA may request an FBI name check instead of more fingerprints. Cards that are incomplete or poorly rolled can also be sent back before they ever reach the FBI, and those do not count toward the three attempts. Each resubmission uses up part of the 30 days, so clear prints on the first attempt matter. Read why fingerprints get rejected and how to avoid it before your appointment.
Who pays?
FINRA and FBI processing fees are charged to the firm’s FINRA account. FINRA lists the FBI fee as $13 per charged submission, effective October 1, 2026. The fingerprinting appointment itself is separate. Many firms reimburse it, so keep your receipt.
What should I bring to the appointment?
- A current government-issued photo ID.
- The card or instructions from your firm, including the firm’s CRD number.
- The personal details listed above.
Frequently asked questions
Who needs FINRA fingerprinting?
Under SEC Rule 17f-2, partners, directors, officers and employees of FINRA member firms must be fingerprinted unless they are exempt. Exemptions cover staff who do not sell securities, do not regularly handle securities, money or the related records, and do not supervise people who do.
What is the deadline for FINRA fingerprints?
FINRA must receive the fingerprints within 30 days after the Form U4 is filed. If it does not, the registration moves to Inactive Prints status and the person must stop activities that require registration.
How long do FINRA fingerprint results take?
FINRA says the FBI typically returns results within 48 hours of submission. Firms see the status in CRD.
What happens if FINRA fingerprints are illegible?
The firm can resubmit. After three illegible results that meet FINRA’s criteria, FINRA may ask the FBI for a name check instead of more fingerprints.
FINRA fingerprinting in Vancouver, WA
AI Fingerprinting offers FINRA fingerprinting for $95, with prints taken by a trained technician. Firms onboarding several people at once can book mobile fingerprinting at their office.
AI Fingerprinting is at 201 NE Park Plaza Dr #221, Vancouver, WA 98684, open Monday to Friday 9 AM to 5 PM and Saturday 10 AM to 2 PM. Book an appointment or call (360) 998-7302. Current rates are on our pricing page.