You must have your Series 6 License to sell any securities based product. These include any Variable Life Policy, Mutual Funds, etc. You do NOT need your securities license to sell EUIL products.

Note: Information on training for Securities Licenses is not yet posted.

To start the process, you need a reference number from WFG. Enter your Form U-4 information Online successfully using these easy to follow steps.

1. Log onto the WFG Homepage and select the “Selling and Building” tab located at the top of the Homepage and then select the “Online U-4 Payments” link. Click on “eU-4 Form Reference Number request” to receive your reference number.

2. Input your agent ID number in the Agent ID section.

This will auto-populate your personal information, exams, states and Branch information.
Your home state is a required Jurisdiction and the Series 63 exam will be requested if required by the state.

3. Input your signing BOM’s code number in the BOM ID section. (Get Number from your Leader)

This will auto-populate the Branch Manager’s information.
Your Branch Office should be located in your home state or within 50 miles of your residence. Some states require your Branch Office to be located in your home state. Contact your BOM or ROSJ for more information if your Branch Office is located in another state.

4. Verify the following information:

Full Name
Social Security Number
Date of Birth

5. Click on Submit.

You should receive and auto-response confirming receipt of your request by WGS. If you do not receive a response within 5 minutes, then you should send your request from another e-mail address. If still no response, then contact your BOM for further assistance.

6. The Registration Department will respond to you within 48-72 business hours and send your reference number to the e-mail address you inputted and also to your signing BOM. The reference number given will give you access to the Online U-4 Form.
The WGS Registration Department must receive your Online U-4 Form with a completed Securities Kit within 25 days from the creation date of the reference number. If the reference number expires after 25 days, then you will need to resubmit the Online U-4 Form. The NASD will delete your information after the allotted time has elapsed.
Visit this NASD internet address to fill out the Online U-4 Form. It is important that you read the CRD Terms and Conditions before proceeding. Once you accept the terms, click on the “Forms” tab along the top of the screen. This page is where you will input the provided reference number. The NASD “Form Filing for the Registered Representative Navigation Guide” is currently available here has detailed instructions on how to complete the U-4 Form.

7. Once you copy and paste (recommended) or typed in the provided reference number, you will have access to complete the Online U-4 Form. Navigate down the menu selections on the left of the screen and complete the following sections: 2, 9, 10, 11, 12, 13, 14 & 15 with the required information. If you answered “Yes” in section 14 on the U-Form, then you will also need to complete the appropriate DRP located under section 15 at the bottom left of the screen. Make sure to list your signing BOM in the “Appropriate Signatory” in section 15. If you have current employment other than WFG and WGS, then you will need to detail that employment in section 13 and submit a completed OBA Form and Acceptance letter. You are not required to submit employment listed under the Affiliate Broker Program.

8. After you have completed the required sections, click on “Completeness Check” located at that top left of the screen. The system will then check for the required information. Correct any deficiencies by clicking on the link located under the “Error Location” and click on “Completeness Check” after correcting any errors. This step will help avoid any delays in processing. You will need to print the “ U4 Submission Completeness Check Passed Successfully” screen and write the agent ID number on the printout and use as cover letter for U-4 Form.

9. After printing the “Completeness Check” page, click on “Print Preview” located at the top left of the screen. Once the page loads, click on “All Sections” located at the bottom left of the screen. Click on the printer icon and then click on “Print” when the printer window appears. You will have 15 printed pages unless you have completed a DRP. Original signatures are required in section 15 beside the printed names listed on the form.

10. Click on “Submit To Firm” located at the top left of the screen. Make sure your BOM reviews your kit before submission to the Home Office.
Please note: The process cannot be completed until the Registration Department receives the actual kit and other Security Kit Documents, including the Fingerprint card and fees.