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 Cheryl Pearson or you can call her at 360-902-8762 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-Part II (PDF Online) - Uniform Application for Investment Adviser Registration.  This is the Part II which can be filled out online and printed, although you cannot save it with your text in it unless you have the full Adobe Acrobat software application, not just the free Adobe Reader.

New Form ADV (PDF) - Includes Instructions & Glossary, Parts 1A and 1B, and Part II

Form ADV-W (PDF Online) - Notice of Withdrawal from Registration as Investment Adviser

Fiscal Year End Report (PDF) - Fiscal Year End Report

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

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

Exams Form (U-10)(PDF) - Uniform Examination Request for Non-FINRA Candidates

Surety Bond Form (PDF Online) - 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.