Financial Industry Regulatory Authority (FINRA)

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Our Fingerprint Cards are available at the time of service

Need to Submit Fingerprints to FINRA?

The Choice Is Yours!

Carolina Fingerprinting offers both ink fingerprint cards and electronic fingerprint submissions directly to FINRA for registration purposes.

We Proudly Provide

Advanced Fingerprinting Options to Meet Your Needs

Carolina Fingerprinting is proud to provide innovative EFS Processing

FINRA member broker-dealers and funding portals are eligible to submit fingerprints electronically via FINRA’s Electronic Fingerprint Submission (EFS) program.

Most prints will come back within 24 hours after submission, and results will be made available in Web CRD/FPRD to entitled users with your firm.

As a certified EFS Vendor, we can transmit fingerprints to FINRA electronically on behalf of your firm.

 

Our innovative technology and unique business model allows us to provide advanced fingerprint options our competitors can’t match, including:

 

  • Efficient, courteous service in a location of your choice or at one of our many locations throughout NC/SC
  • Electronic Fingerprint Submissions (EFS) under the guidelines established by the FBI and FINRA, resulting in faster processing times, higher quality fingerprints, and reduced rejection rates
  • Lower FINRA fingerprint processing fees

The Choice Is Yours!

You Can Come to Us

 

Click below to set up an appointment to visit any one of our NC/SC locations

Or We Can Come to You

 

Contact us to arrange for a professional Fingerprint Technician to bring a portable fingerprint lab directly to you, anywhere in the NC/SC area. No job too big or too small.

To arrange for us to come to you, please send us a message. We will respond as quickly as possible.

Frequently Asked Questions

Who needs fingerprinting for FINRA?

Pursuant to Section 17(f)(2) of the Securities Exchange Act of 1934 and Rule 17f-2 thereunder, the SEC requires firms to submit fingerprints for all partners, directors, officers and employees, unless they are exempt under those same provisions.  Source FINRA.org

What kind of background check does FINRA do?

FINRA requires most employees at the broker-dealer firms it regulates to be fingerprinted and screened for past criminal history, regardless of whether the employee is to be registered with FINRA to be involved in investment decisions. Source: finra.org

What happens if my FINRA registration expires?

If fingerprints are not received within the 30-day time period, the individual’s FINRA registration status will be changed to “Inactive Prints“, and the individual will have to cease doing business until such time as the fingerprints are received and processed.u must submit hard copy fingerprint cards directly to the FBI.

What does FINRA do with fingerprints?

FINRA forwards the fingerprint information electronically to the FBI. The FBI results are automatically uploaded to Web CRD® . Card results are generally posted in Web CRD within 72 business hours after the card is sent to the FBI. Source: finra.org

How long are FINRA fingerprints good for?
2 years and 30 days
When FINRA receives the fingerprint card prior to 2 years and 30 days from the initial filing date, the individual’s registration status updates to Approved Pending Results (APRSLTS). At this time, the FINRA Fingerprint Fee is assessed and the card image is sent to the FBI.
What is FINRA?

FINRA is the Financial Industry Regulatory Authority

 
Did you know?

FINRA is currently accepting both ink fingerprint cards and electronic fingerprint submissions for registration purposes. Carolina Fingerprinting, in partnership with PrintScan, offers electronic fingerprint submissions to FINRA.

 
What is PrintScan?

PrintScan is an accredited fingerprint Channeler approved to handle all your Electronic Fingerprint Submissions (EFS) to FINRA. PrintScan has worked closely with FINRA to become authorized to submit EFS under the guidelines established by the FBI and FINRA. They are one of only thirteen companies in the United States to do so.

 
What does this mean for our customers?

Because of this partnership, we can now submit fingerprints electronically to FINRA. Results can be delivered to the broker-dealer through FINRA CRD.

Electronic Fingerprint submissions allow for faster processing times, higher quality fingerprints, reduced rejection rates, and lower FINRA fingerprint processing fees.

 

Carolina Fingerprinting offers our clients flexible and convenient options for submitting Electronic Fingerprint Submissions to FINRA. 

Contact us today for more information or to schedule an appointment.

Carolina Fingerprinting offers our clients flexible and convenient options for submitting to FINRA
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