Series 27: Fingerprint Card

Taken from our Series 27 Online Guide

Fingerprint Card

Every officer or employee of a member firm who sells, handles, or processes securities, or who supervises those who do, must be fingerprinted as part of the registration process. Fingerprint cards may be filed electronically or by hard copy obtained through the Gateway Call Center. They must accompany every Form U4.

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Amanda Whitney, Great Nation Investment Corporation, Amarillo, TX

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