Table of Contents

•  Introduction
• Why FINRA Fingerprinting Is Required
• Who Needs It in Houston
• What You’ll Need Before Your Appointment
• Step-by-Step FINRA Fingerprinting Process
• Digital vs. Ink Card: Which Is Best?
• Timeline & What Happens After Submission
• Houston Fingerprint: Your Local Partner
• FAQs
• Final Thoughts

Introduction

Whether you’re joining a broker-dealer or applying for a financial license, FINRA fingerprinting in Houston is a critical compliance requirement. Getting it right the first time helps avoid delays, errors, or rejections in your Form U4 filing process.

This guide walks you through everything you need to know—from preparing documents to completing your fingerprint appointment.

Why FINRA Fingerprinting Is Required

FINRA (Financial Industry Regulatory Authority) requires fingerprint background checks under SEC Rule 17f‑2 to ensure the safety, integrity, and trustworthiness of individuals entering the financial industry.

Your fingerprints are cross-checked against the FBI’s Criminal Justice Information System (CJIS) to:

• Confirm identity 
• Check for criminal records 
• Maintain industry transparency

Who Needs It in Houston

In Houston, FINRA fingerprinting is required for:

• Broker-dealer applicants filing Form U4 
• Employees with access to funds, securities, or client records 
• Firm executives, supervisors, and back-office staff handling sensitive operations
  

If you’re unsure, ask your firm’s compliance department. When in doubt, it’s best to get fingerprinted to avoid registration issues.

What You’ll Need Before Your Appointment

Before showing up for your FINRA fingerprinting appointment in Houston, make sure you have:

• A valid government-issued photo ID (e.g., driver’s license or passport) 
• Your CRD/firm ID number (provided by your broker-dealer) 
• The reason for fingerprinting (Form U4, Form BD, etc.) 
• If applicable, a FINRA fingerprint card (for ink-based methods)
  

Need help preparing? Contact Houston Fingerprint for a pre-appointment checklist.

Step-by-Step FINRA Fingerprinting Process

Here’s what you can expect at your appointment:

Step 1: Schedule or Walk In

Choose an appointment time online or walk into our Houston location. We also offer mobile FINRA fingerprinting for offices and firms.

Step 2: Identity Verification

You’ll present your ID and confirm your details (name, DOB, firm info, etc.).

Step 3: Choose Live Scan or Ink

• Live Scan: Digital and secure—recommended for most applicants 
• Ink Card: Required if you’re applying from outside the U.S. or if your firm mandates it

Step 4: Fingerprinting

The technician scans or rolls your fingerprints in under 10 minutes.

Step 5: Submission to FINRA or Return to You

• Live scan results are submitted electronically. 
• Ink cards are sealed and returned to you for mailing or direct submission. 

You’ll receive a confirmation slip or tracking number after submission.

Digital vs. Ink Card: Which Is Best?

We recommend Live Scan when possible for quicker results and reduced rejections.

Timeline & What Happens After Submission

• Live Scan: Results sent to FINRA in 1–2 business days 
• Ink Card: May take 7–14 business days (plus mailing time) 

After submission, FINRA reviews the background check and updates your CRD record. If approved, you’ll move forward in the registration process. If issues arise, Houston Fingerprint helps with free resubmission support.

Houston Fingerprint: Your Local Partner

We proudly serve the greater Houston area with:

• Fast, compliant FINRA fingerprinting 
• Walk-in & scheduled appointments 
• Mobile services for local firms 
• Resubmission support & compliance consulting 
• Privacy-focused service from trained professionals 

Need it fast? Ask about FINRA expedited fingerprinting.

Internal link: Learn more on our FINRA fingerprinting background check service page.

FAQs

Q: What forms of ID are accepted?
A: Any government-issued photo ID such as a passport, driver’s license, or military ID.

Q: Can I book a same-day appointment?
A: Yes! We offer walk-ins and same-day scheduling.

Q: Do you mail the ink card for me?
A: Yes. We offer mailing services, or we can return it to you for submission.

Q: Is there a way to speed up the fingerprint process?
A: Yes—ask about our expedited FINRA fingerprinting for quicker turnaround.

Final Thoughts

Whether you’re a new broker-dealer applicant or helping your team stay compliant, Houston Fingerprint simplifies the FINRA fingerprinting process with secure, accurate, and fast service.

Visit our Houston office
Call us or
Book an appointment online today.