What Happens to Your FINRA Securities Licenses Account When You Die
Quick Facts
FINRA
Notify immediately
Employer
Broker-dealer must report
Contact
1-301-590-6500
Step-by-Step Guide
Notify FINRA and employer
Contact FINRA at 1-301-590-6500 and the employer (broker-dealer). The firm is required to file a Form U5 termination notice.
Handle client accounts
Client accounts managed by the deceased must be reassigned to another registered representative. The firm handles this process.
Document Now Checklist
- FINRA CRD number
- Active licenses (Series 7, 63, 66, etc.)
- Employer/broker-dealer name
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Start your vault — free for 30 daysLast verified: June 2026. Platform policies may change. Verify current procedures directly with FINRA Securities Licenses. This guide is for informational purposes only and does not constitute legal advice.
Related Guides
Domain Names (GoDaddy, Namecheap, Cloudflare)
Domains expire on a specific date. If not renewed, they become publicly available and can be registered by anyone.
Shopify
If you have an active Shopify store, orders may continue coming in. Your executor needs access immediately to fulfill or refund.
GitHub
Transfer important private repositories to a trusted collaborator or organisation. Go to Repo Settings → Transfer.
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