Securities Forms

Here is a list of forms from DFI's Securities Division.

Need Assistance?

If you need assistance, email Trang Pham at Trang.Pham@dfi.wa.gov or call (360) 902-8738.

Broker Dealer Forms

Business Opportunities Forms

Crowdfunding Forms

Franchise Forms

Investment Advisers Forms

Securities Registrations, Notifications, and Exemptions

SCOR Forms

Records Requests

Public Records Request Form

Complaints

Investor's Complaint Form