Investment advisers and their representatives operating in Washington (with certain exceptions) are required to be licensed with the Securities Division. Persons who provide investment portfolio management for their clients or who hold themselves out to the public as financial planners are among those required to be licensed.
Contact Us
IALicensing@dfi.wa.gov
(360) 902-8815
All applicants, whether for state registration or federal notice filing status, must file over the Internet through the Investment Adviser Registration Depository (IARD). In addition, applicants for state registration must file additional documents directly with the Securities Division.
Applicants for investment adviser representative registration must apply via an electronic Form U-4 on the IARD system, submitted by their firm.
Renewal of investment adviser and investment adviser representative registrations takes place through the IARD system after the first weekend in November. Renewal information can be accessed at www.iard.com.