Broker dealers, securities salespersons, agents of securities issuers, franchise brokers, and commodities brokers operating in Washington State are required to be licensed with the Securities Division. The Securities Division reviews applications for the qualifications of their principals, and the disciplinary history of the firm or its principals.
Registration
- Registration Requirements for FINRA Member Firms and Salespersons
Review of requirements for FINRA member firms and Salespersons. - Registration Requirements for Non-FINRA Broker Dealers and Salespersons
Review of 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 of interest to broker dealers and securities salespersons.
FAQs, Resources
- Viatical Settlements
Information about selling viatical settlements. - Life Settlement Investments
Information about selling life settlement investments - Helpful Links
Link to helpful websites for securities broker dealers and salespersons.
Information for Investors
Broker-dealers, securities salespersons, agents of securities issuers, franchise brokers, and commodities brokers operating in Washington State are required to be licensed with the Securities Division. The Securities Division reviews applications for the qualifications of their principals, and the disciplinary history of the firm or its principals.
Applications received for personal licensing are reviewed for disciplinary history and to ensure that appropriate examinations have been passed.
To check to see if a Broker-Dealer Firm, a Broker-Dealer or Broker-Dealer representative is registered, contact IALicensing@dfi.wa.gov or call 360-902-8815. They will be able to tell you not only if a Firm is registered to do business in Washington, but they will also be able to give you some information about past disciplinary history and other pertinent information.
You can also look up registration information for securities broker-dealers and salespersons who are members of the Financial Industry Regulatory Authority (most are) on the FINRA website. The site will also tell you if the firm or person has disciplinary history, and then you can request that the information be sent to you.