Washington State Department of Financial Institutions

Investment Adviser Forms

The following forms are in PDF* format so you will need Adobe Acrobat Reader to view them.  They are also available from the Division in hard copy and can be requested by e-mail from Trang Pham at Trang.Pham@dfi.wa.govor you can call her at 360-902-8738 to request the forms.

Many forms can be filled out online and printed, although you cannot save them with your text in them unless you have the full Adobe Acrobat software application, not just the free Adobe Reader. Forms that can be completed online are noted by the words (PDF Online).

Form ADV - Includes Instructions & Glossary, Parts 1A and 1B, and Part II

Form ADV-Part 2 (PDF) - Form ADV Part 2

Form ADV-W - Notice of Withdrawal from Registration as Investment Adviser

Salesperson Form (PDF)* (U-4) - Uniform Application for Securities Industry Registration or Transfer

Agent Termination Form (PDF)* (U-5) - Uniform Termination Notice for Securities Industry Registration

How To Apply For A FINRA Exam - Information about how to apply for a FINRA exam.

Surety Bond Form (PDF)*  - To obtain a surety bond in lieu of meeting net capital requirements.

* To open a PDF file, and you will need Adobe Acrobat Reader to view it. If you don't already have Acrobat Reader installed on your computer, you may download it for free from Adobe.