Financial Advisor Credential Verification Form

Financial advisor credential verification is a critical compliance requirement for firms hiring advisors, conducting due diligence, or onboarding new partners. This financial advisor credential verification form streamlines the process of validating Series 7, 63, and 65 licenses, CFP certification status, state registrations, and compliance history in one comprehensive workflow.

Paperform makes credential verification straightforward for compliance teams, HR departments, and registered investment advisors. The form's conditional logic adapts based on the type of licenses held, revealing only relevant verification fields. You can collect advisor information, verify licensing status through multiple regulatory bodies, check for disciplinary actions, and document employment history—all in a professional, compliant format.

Once submitted, use Stepper to automate your verification workflow: trigger BrokerCheck API lookups, route submissions to compliance officers for review, update your HR system or CRM, and send conditional follow-up requests if discrepancies are found. Stepper connects Paperform to your compliance stack, ensuring nothing falls through the cracks.

Whether you're a wealth management firm, broker-dealer, RIA, or insurance agency, this template helps you maintain regulatory compliance while creating a smooth onboarding experience. Built with SOC 2 Type II security and full data encryption, Paperform ensures sensitive credential information stays protected throughout the verification process.