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

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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.

 

Get Started Today

If your organization chooses to participate, you must set-up a Sterling account by following these three steps. 

STEP 1: REVIEW THE SERVICE OPTIONS THAT BEST FITS YOUR ORGANIZATION'S NEEDS

For service options and associated costs, refer to the table below.

Service Options and Associated Costs

Price

Live Scan Fingerprinting via Sterling's Identity Network

$20

FBI Fee (additional for Live Scan and Hard Card)

$11.25

Hard Card Processing

$30

FINRA Hard Cards (25-pack)

$10 plus actual shipping

International Shipping Kit (10-pack)

$45 plus actual shipping
STEP 2: SELECT WHERE YOUR TA/CA IS PRIMARILY LOCATED
  • Within the U.S. or its territories click here.
  • Outside of the U.S. or its territories please have your U.S. Agent* call 844-707-7687.
STEP 3: LOOK FOR AN EMAIL FROM STERLING WITH PROGRAM DETAILS AND CREDENTIALS
  • TA/CAs located within the U.S. or its territories: After Sterling receives the signed TA/CA service agreement via DocuSign to use our fingerprinting services, you will receive a email  containing instructional materials and Client Hub login credentials. After this date, you will receive your welcome email and credentials within 2 business days of signing the DocuSign agreement.
  • TA/CAs located outside of the U.S.: After your authorized U.S. Agent* completes the verification process and Sterling receives the signed TA/CA International service agreement via DocuSign, the U.S. Agent will receive an email from Sterling containing instructional materials and Client Hub login credentials. After this date, you will receive your welcome email and credentials within 2 business days of signing the DocuSign agreement.

* As part of your onboarding, your organization’s U.S. Affiliate or Agent (“U.S. Agent”) will complete the Non-U.S. TA/CA Service Agreement in order to create a Sterling Client Hub account. U.S. Agent is defined as your organization’s legal representative domiciled in the U.S. or its territories. The U.S. Agent must have a U.S.-based address and be authorized to perform TA/CA Program responsibilities on behalf of your organization. Program responsibilities include placing fingerprint orders, receiving FBI results and ensuring payment of Sterling invoices.

 

 

About Us

First Advantage (NASDAQ: FA) is a leading provider of employment background screening, identity, and verification solutions. Headquartered in Atlanta, Georgia, First Advantage performs screens in over 200 countries and territories. Visit the Company’s website at https://fadv.com/.    

Copyright 2024 Sterling, a First Advantage company