How to Get FINRA Fingerprinting in Colombia Using FINRA Compliant Fingerprinting Cards

If you are a financial professional based in Colombia working with or applying to a US broker-dealer, there is one compliance step that catches most people off guard: FINRA fingerprinting.

The assumption is that it works the same as in the United States-  schedule an appointment, have your fingerprints captured electronically, and complete the process in a day. But for professionals applying from Colombia, that assumption can create unnecessary delays and even trigger an Inactive Prints status on your Form U4.

The key difference is that electronic fingerprint submission is not available for FINRA applicants fingerprinted outside the United States and its territories. Instead, fingerprints must be collected on approved hard-copy fingerprint cards, completed correctly, and submitted according to FINRA's requirements.

This guide explains exactly how FINRA fingerprinting works in Colombia, what requirements apply to international applicants, and how to complete the process correctly whether you are in Bogotá, Medellín, Cali, or anywhere else in the country.

FINRA, the Financial Industry Regulatory Authority, is the self-regulatory organization that oversees broker-dealers and registered representatives operating in the US securities market. As part of that oversight, FINRA requires fingerprinting for all individuals associated with member firms before they can conduct securities business.

This requirement comes directly from SEC Rule 17f-2 under Section 17(f)(2) of the Securities Exchange Act of 1934. The rule is broad by design; it applies to all partners, directors, officers, and employees of FINRA member broker-dealer firms, unless a specific exemption is claimed and documented.

Who must be fingerprinted:

• Persons applying for registration with FINRA.
• Individuals handling customer funds or securities.
• Those involved in preparing or maintaining financial records.
• Anyone with direct supervisory responsibility over the above.

The fingerprinting process is tied directly to your Form U4, the Uniform Application for Securities Registration. Once your firm files a Form U4 on your behalf, you have 30 days to submit your fingerprints. Miss that window, and your registration is automatically placed in Inactive Prints status, meaning all securities business must stop until it is resolved.

In the United States, FINRA fingerprinting is handled electronically. Candidates visit one of Sterling Identity's 650+ collection sites, get scanned via live scan technology, and the results are transmitted to FINRA the same day. Fast, clean, and efficient.

None of that applies if you are in Colombia.

The only compliant method is:

• Ink-rolled fingerprints captured on FINRA-compliant fingerprinting cards.
• Cards completed fully and correctly.
• Mailed directly to FINRA, not to Sterling Identity.

Cards originating from outside the United States must be submitted to FINRA Document Services, not to Sterling Identity directly. This distinction matters because Sterling Identity handles domestic US submissions, and international cards routed there instead of FINRA Document Services can result in processing delays or rejection. Your sponsoring firm's compliance team is responsible for ensuring the cards reach the correct destination. Firms less familiar with international submissions sometimes overlook this routing difference, which is why it is worth confirming before cards are mailed.

For applicants outside the United States, fingerprints must be collected on a FINRA-compliant fingerprint card approved for FINRA submissions. These official hard-copy forms are designed to capture the personal, registration, and fingerprint information required as part of FINRA registration process.

This is not a generic fingerprint card. It must meet specific standards set by FINRA and any deviation can result in the card being marked deficient and discarded without being returned to you or your firm.

What must be on the card:

• Full legal name, date of birth, and Social Security Number.
• Your firm's FINRA Organization ID number (not the CRD number for funding portals).
• Place of birth, citizenship, and physical descriptors.
• Signature of the person being fingerprinted.
• Signature of the official taking the prints.

How prints must be captured:

• Rolled in black ink only.
• Each finger rolled fully from nail to nail.
• Clear, legible ridge detail, no smudging, no gaps, no excessive pressure.

What makes a card deficient:

• Missing required fields.
• Illegible or smudged prints.
• Wrong ink colour.
• Unsigned by either party.
• Incorrect or missing Organization ID.

If a card is rejected, your firm must resubmit up to three times before FINRA may request an alternative name-based search. Each rejection adds weeks to your timeline, making quality the priority.

On paper, the process looks simple. In practice, it is where most Colombia-based professionals run into problems.

Step 1: Firm Files Form U4

Your broker-dealer firm submits your Form U4 through FINRA's Central Registration Depository (CRD). The moment it is filed, your 30-day clock begins, and it does not pause for international logistics.

Step 2: Find a Qualified Provider in Colombia

This is where things get difficult. You need a provider who understands FINRA-compliant fingerprinting cards, black ink rolling, mandatory fields, and FINRA quality standards. Very few understand FINRA-specific hard card requirements. Choosing the wrong provider means deficient cards, wasted time, and a resubmission that eats further into your deadline. Cards can be rejected and resubmitted up to three times each round, adding weeks to your timeline.

Step 3: Get Fingerprinted and Hand Cards to Your Compliance Team

Once your fingerprints are collected and the card is complete, hand it to your firm's designated compliance or registration contact as quickly as possible. Your sponsoring firm's compliance team is responsible for mailing the completed cards to FINRA Document Services- not to Sterling Identity directly, which is one of the most common mistakes made with international submissions. Your firm should verify the correct current mailing address directly with FINRA before dispatch, as submission procedures and addresses may change. Given the 30-day window, delays in handing over completed cards directly affect your firm's ability to meet the deadline.

Step 4: FINRA Forwards to Sterling Identity

FINRA receives your cards and forwards them to Sterling Identity for processing. This step is entirely out of your hands, which is why everything before it must be done correctly the first time.

Step 5: Results Posted to Web CRD

Once processed, results are posted to your firm's Web CRD/FPRD portal. Your firm's compliance team can monitor submission status directly through the CRD system. A rejected card sends you back to Step 2.

Colombia has a growing fingerprinting services landscape, particularly in Bogotá and Medellín, driven largely by the expat community and professionals needing FBI background checks for immigration, visa applications, and Colombian residency requirements.

However, there is an important distinction that most people miss.

FBI fingerprinting and FINRA fingerprinting are not the same thing.

Most providers in Colombia are set up for FBI Identity History Summary checks, using FD-258 cards for immigration and background check purposes. They know the card format, they handle the ink rolling, and they coordinate mailing to the FBI. That experience is valuable, but it does not automatically translate to FINRA compliance.

FINRA fingerprinting from Colombia requires a provider who specifically understands:

• The FINRA Organization ID field and why it cannot be left blank.
• The exact mailing destination is FINRA Document Services, not the FBI, not Sterling.
• Quality standards are strict enough to pass on the first submission.
• The 30-day deadline pressure makes resubmissions genuinely costly.

Finding a provider in Colombia who checks all of these boxes and who also offers the flexibility to come to you is where most professionals get stuck.

Globeia supports financial professionals, broker-dealer employees, compliance teams, and firms across Colombia who require fingerprinting for FINRA registration and related regulatory requirements.

The process begins with Globeia SmartForm, allowing applicants to provide their information before the appointment so key fingerprint card details can be reviewed in advance. Appointments can be arranged at homes, offices, coworking spaces, hotels, and other suitable locations throughout Colombia.

Fingerprints are collected by trained associates on FINRA-compliant fingerprint cards using FINRA-compliant ink rolling procedures. Identity verification forms part of the appointment process through Globeia's Face ID Verification system.

In addition to fingerprint collection, Globeia can assist with documentation review and courier coordination where applicants need completed fingerprint cards and supporting documents delivered securely to the appropriate destination.

Why Financial Professionals Choose Globeia 

FINRA fingerprinting from outside the United States comes with unique challenges. Registration deadlines continue to run while fingerprint cards are being prepared, and even small mistakes can result in delays or resubmissions.

Globeia's process is designed specifically for these international requirements.

Every appointment includes Face ID Verification as a standard identity verification step before fingerprint collection takes place. Applicants also receive Globeia's Letter of Identity Verification, an exclusive Globeia document confirming that fingerprints were collected following identity verification procedures. The letter contains a unique encrypted QR code that can be used to verify authenticity.

Unlike providers that operate from a fixed location, Globeia offers mobile fingerprinting appointments across Colombia, allowing financial professionals to complete the process at their home, office, or another convenient location.

The Letter of Identity Verification is issued by Globeia and is not issued by, endorsed by, or affiliated with FINRA, the FBI, the SEC, or any government authority.

With Globeia, appointments can be arranged in Bogotá, Medellín, Cali, Cartagena, Barranquilla, Bucaramanga, and other cities across the country.

Whether you are registering with a broker-dealer, transferring firms, or onboarding multiple employees, mobile appointments help simplify FINRA fingerprinting requirements without the need to travel to a fingerprinting office.

FINRA fingerprinting is one of those requirements that seems simple until a missing field, poor print quality, or incorrect mailing step creates unexpected delays. For professionals applying from Colombia, attention to detail matters just as much as the fingerprints themselves.

By understanding the process in advance and working with a provider familiar with FINRA requirements, applicants can focus on their registration while avoiding many of the issues that lead to resubmissions and compliance headaches.

Globeia provides mobile FINRA fingerprinting services across Colombia, helping financial professionals complete this requirement wherever they are located.