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Investment Advisor
License Description Individuals must register in the Investment Advisor Registration Depository operated by the Financial Industry Regulatory Authority (FINRA). Registering in Washington costs $40 as a representative of a firm, or $150 as a sole proprietor. Invididuals must pass qualifying examinations, file a financial statement and file a proposed client contract.
Licensing Agency
Department of Financial Institutions
150 Israel Rd SW
Tumwater, WA 98501
(360) 902 8700
Active Status Active
Criminal Record No criminal record prohibitions
Exam Third-party exam required
License Type Tied to business
License Updated 09/09/2024

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