Welcome to Sterling's Fingerprinting Hub for Transfer Agents/ Clearing Agents

Verify Candidate Identity and History with
Fingerprint-based Background Checks

Sterling Identity, a subsidiary of Sterling, is designated as Financial Industry Regulatory Authority (FINRA's) provider for fingerprint-based background checks. Effective October 2, 2023, these fingerprinting services will become available to Transfer Agents/Clearing Agencies (TA/CA's) under a new program created with FINRA outsourced its fingerprint processing to Sterling. 

The success of your candidates’ fingerprinting experience is extremely important to us. Sterling focuses on delivering a simple, reliable, and efficient fingerprinting process that meets U.S. Securities and Exchange Commission (SEC) 17f-2 fingerprinting obligations. Our experienced technicians significantly reduce FBI rejections and comply with all FBI requirements for fingerprint capture and submission. Sterling will provide FBI criminal history record information results to FINRA, which will in turn make the results available to TA/CAs through secure email.

Reliable, Simple, Fast Fingerprinting

Transfer Agents/Clearing Agencies (TA/CAs) candidates located in the U.S. or its territories are able to choose from Sterling’s Identity Network of 650+ locations to conveniently have their fingerprints captured electronically via Live Scan devices.

Live Scan

Through Sterling’s fingerprinting services, you can take advantage of the latest live scan capture technology which provides accurate and fast fingerprint collection. 

You’ll benefit from:

• Centralized Client Hub. Fingerprint orders are placed and tracked in one-place via our Client Hub

• Seamless Candidate Experience. Candidates enter their information and select a convenient fingerprinting location in the Candidate Hub
• Convenient Nationwide Network. Fingerprints are captured via Sterling’s Identity Network with identity verification facilities in all 50 states and Washington DC on equipment that minimizes rejects
• Fast Results. Most results are sent to FINRA the same day, though some may take longer. 

Hard Card

Hard card fingerprint capture is available to TA/CA candidates within the U.S. or its territories who require this method. Just like the Live Scan method, TA/CAs must use Sterling’s Client Hub to place fingerprint orders and your candidates must leverage Sterling’s Candidate Hub to provide FBI-required information.

TA/CAs outside the U.S. or its territories, FBI restrictions prohibit electronic fingerprint capture. Therefore, candidates who require fingerprinting in another country must have their fingerprints captured via FINRA-approved hard cards only. Additional Program protocols are in place to comply with the FBI, including all completed hard cards for international candidates must be sent to FINRA and FINRA will send to Sterling for processing.

Resource Center

Download the most Frequently Asked Questions.

For step-by-step instructions on how to place fingerprinting orders in Sterling's Client Hub, please download the Sterling Fingerprinting User Guide. 

Sterling provides a nationwide live-scan fingerprinting collection network with locations in all 50 states and Washington, D.C.

If your firm requires hard card submissions as part of your TA/CA fingerprinting process, please follow the applicable U.S. Domestic Hard Card Instructional Guide and/or International Hard Card instructional Guide. 

We Look Forward to a Successful Partnership

If you need any assistance placing a fingerprinting order or have additional questions, please contact Sterling’s customer support Monday through Friday, from 8 a.m. to 9 p.m. by phone at 1-833-794-2009 or email at taoclientsupport@sterlingcheck.com.

For questions about fingerprinting requirements, please see FINRA’s FAQ or contact TA_CA.operations@finra.org.