Broker dealers, securities salespersons, agents of securities issuers, franchise brokers, and commodities brokers operating in Washington State must be licensed with the Securities Division. The Division reviews applications, assesses the qualifications of their principals, and checks the disciplinary history of firms or their principals.
Registration Requirements
- FINRA Member Firms and Salespersons
Review registration requirements for FINRA member firms and salespersons. - Non-FINRA Broker Dealers and Salespersons
Review registration requirements for non-FINRA broker dealers and salespersons. - Canadian Broker Dealers Exemption
Information about exemptions for Canadian broker dealers.
Forms and Testing
- Forms
Forms and applications for broker dealers and salespersons. - FINRA Testing
How to apply for a FINRA examination.
Statutes and Rules
- Statutes and Rules
Laws and rules relevant to broker dealers and securities salespersons.
FAQs and Resources
- Viatical Settlements
Information about selling viatical settlements. - Life Settlement Investments
Information about selling life settlement investments. - Helpful Links
Websites for securities broker dealers and salespersons.
Information for Investors
Broker dealers, securities salespersons, agents of securities issuers, franchise brokers, and commodities brokers must be licensed with the Securities Division. The Division checks the qualifications of principals and reviews disciplinary history.
To check if a broker dealer or representative is registered, contact IALicensing@dfi.wa.gov or call 360-902-8815. You can also check registration information on the FINRA BrokerCheck website.