Table of Contents

•  Introduction
• Understanding FINRA’s Fingering Requirements
• Who Needs FINRA Fingerprinting?
• Two Methods: Live‑Scan vs. Ink‑Card
• Step‑by‑Step Process to Get Fingerprinted
• Required Documents & Timing
• How Houston Fingerprint Makes It Easy
• FAQs
• Final Thoughts & Next Steps

Introduction

If you’re planning to become a registered representative with a broker‑dealer, obtaining FINRA fingerprints is a crucial compliance step. Required under SEC Rule 17f‑2, this process helps maintain integrity in the securities industry. At Houston Fingerprint, we offer fast, certified FINRA fingerprinting services getting you ready to complete Form U4 submission and begin your new compliance journey.

Internal link: see our overview on FINRA fingerprints for more information.

Understanding FINRA’s Fingering Requirements

FINRA requires fingerprints for certain roles to ensure accurate criminal background checks from both FINRA and the FBI. This is mandated under SEC Section 17(f)(2) and enforced by FINRA Rule 17f‑2. The goal is to maintain a high ethical standard within broker‑dealers and their representatives.

Who Needs FINRA Fingerprinting?

You need FINRA fingerprinting if you’re:

• Filing Form U4 for broker‑dealer registration 
• Working with funds, securities, or client records 
• A partner, director, officer, or supervisor of such activity 

Employees with no access to securities may be exempt—but most new reps won’t qualify. If you’re unsure, contact your compliance officer for clarification.

Two Methods: Live‑Scan vs. Ink‑Card

Live‑Scan (Recommended)

• Digital fingerprinting, faster results (1-2 business days) 
• Direct submission via FINRA-approved vendors (e.g., Sterling) 

Ink‑Card (FD‑258 or FINRA Card)

• Required for individuals outside the U.S. or preferring physical cards 
• Mailed to FINRA’s vendor and FBI; processing may take longer 

Pro Tip: We recommend live‑scan whenever possible it speeds up compliance and avoids mailing delays.

Step‑by‑Step Process to Get Fingerprinted

Schedule Appointment – Book live‑scan at our Houston office or request on-site for teams.

Bring Valid ID – Acceptable forms include government-issued photo ID or Passport.

Complete Info Form – Tell us whether you’re using Form U4, and provide your name, SSN, DOB.

Print Capture – Live-scan takes about 10 minutes; ink cards take a few minutes.

Submission – We securely transmit live‑scan electronically or mail ink cards promptly.

Confirmation – You’ll receive submission confirmation and tracking.

Results Received – FBI record is typically returned within 1–2 business days and forwarded to FINRA.

Required Documents & Timing

Documents to Bring

• Government-issued photo ID 
• Fingerprint Submission Form (live‑scan or FINRA card) 
• Completed Form U4 (for your broker-dealer) 

Timeline

• Submit fingerprints within 30 days of filing Form U4 
• Live‑scan results: 1–2 business days 
• Ink-card: 2–4 weeks (depending on mail and FBI timing)

Don’t delay—late submissions can lead to Inactive Prints status, halting your registration.

How Houston Fingerprint Makes It Easy

• Convenient Houston location with walk-in & appointment options 
• Live‑scan and ink‑card solutions on demand 
• Trained staff who submit directly to FINRA vendors 
• Same‑day processing & confirmation 
• Free resubmission if prints are rejected 
• Mobile fingerprinting services for team dispatches 

Internal link: Explore our Mobile FINRA Service and FINRA Expedited Services for urgent needs.

FAQs

Q: Can I use fingerprints from another job?
A: No. FINRA requires fresh fingerprint submissions for each new Form U4 filing.

Q: What if my fingerprints are rejected?
A: We offer unlimited free resubmissions until your prints are accepted.

Q: Is an appointment required?
A: Walk-ins are welcome, but appointments help minimize wait times—especially for teams.

Q: Can I fingerprint my whole team at once?
A: Absolutely—we offer group scheduling and mobile visits.

Final Thoughts & Next Steps

Ready to complete your FINRA registration process? Getting your fingerprints done right the first time is essential. Houston Fingerprint makes this quick, secure, and compliant.

Call now to book your appointment or
Schedule online at HoustonFingerprint.com