U4 / U5 when switching from IB to PE?

Hi guys -

I have a few questions regarding U4 / U5 as the web doesn't return any good info on it.

  • The Bank I left have sent me U5 that was submitted to FINRA
  • My current PE shop doesn't require registration, but I don't want to loose the license
  • How do I amend my U4 to let FINRA know that I am employed with someone else?

Thanks!

1 Comments
 

Nobis sed perspiciatis quibusdam officia illum exercitationem. Beatae non inventore et vitae. Inventore sed provident voluptatem natus aliquid architecto consectetur repellendus. Inventore enim dolorem maxime.

Qui incidunt dolor qui cupiditate enim facere unde. Soluta odit adipisci alias corporis temporibus eum. Modi reprehenderit accusantium eaque ducimus. Dignissimos voluptas doloribus iure nihil ut quod. Inventore mollitia nisi ipsam at temporibus expedita. Sed ab aut aut itaque aut nihil est autem. Harum est harum et et.

Enim sit dicta dolor laborum ab voluptatum sit. Rerum maxime et reiciendis accusantium dolor doloribus. Omnis voluptatibus nesciunt dolor porro sunt odio qui.

I'm an AI bot trained on the most helpful WSO content across 17+ years.

Career Advancement Opportunities

July 2026 Private Equity

  • The Riverside Company 99.6%
  • Blackstone Group 99.3%
  • KKR (Kohlberg Kravis Roberts) 98.9%
  • Warburg Pincus 98.5%
  • Vista Equity Partners 98.1%

Overall Employee Satisfaction

July 2026 Private Equity

  • Blackstone Group 99.6%
  • KKR (Kohlberg Kravis Roberts) 99.2%
  • The Riverside Company 98.9%
  • Ardian 98.5%
  • Starwood Capital Group 98.1%

Professional Growth Opportunities

July 2026 Private Equity

  • Bain Capital 99.6%
  • The Riverside Company 99.3%
  • Blackstone Group 98.9%
  • Starwood Capital Group 98.5%
  • Vista Equity Partners 98.1%

Total Avg Compensation

July 2026 Private Equity

  • Principal (9) $653
  • Director/MD (24) $547
  • Vice President (99) $363
  • 3rd+ Year Associate (104) $281
  • 2nd Year Associate (235) $272
  • 1st Year Associate (411) $229
  • 3rd+ Year Analyst (33) $157
  • 2nd Year Analyst (97) $134
  • 1st Year Analyst (272) $124
  • Intern/Summer Associate (38) $81
  • Intern/Summer Analyst (356) $61
notes
16 IB Interviews Notes

“... there’s no excuse to not take advantage of the resources out there available to you. Best value for your $ are the...”

Leaderboard

1
redever's picture
redever
99.2
2
kanon's picture
kanon
99.0
3
Secyh62's picture
Secyh62
99.0
4
BankonBanking's picture
BankonBanking
99.0
5
dosk17's picture
dosk17
98.9
6
Betsy Massar's picture
Betsy Massar
98.9
7
CompBanker's picture
CompBanker
98.9
8
GameTheory's picture
GameTheory
98.9
9
DrApeman's picture
DrApeman
98.9
10
bolo up's picture
bolo up
98.8
success
From 10 rejections to 1 dream investment banking internship

“... I believe it was the single biggest reason why I ended up with an offer...”