Investment Advisor
WashingtonActive
- Exam
- Third-party exam
- Education
- Not reported
- Experience
- Not reported
- Background check
- None
Individuals must register in the Investment Advisor Registration Depository operated by the Financial Industry Regulatory Authority (FINRA). Registering in Washington costs $40 as a representative of a firm, or $150 as a sole proprietor. Invididuals must pass qualifying examinations, file a financial statement and file a proposed client contract.
Requirements reported by the state
- Licence type
- Tied to business
- Exam
- Third-party exam required
- Certification
- No mention of certification
- Background check
- No criminal record requirements
Issuing body
- Department
- Department of Financial Institutions
- Address
- 150 Israel Rd SW Tumwater, WA 98501
- Phone
- (360) 902-8700
- Agency website
- http://www.dfi.wa.gov
- Licence page
- http://www.dfi.wa.gov/sd/investmentadviser.htm
- Last updated
- September 9, 2024
Occupations (O*NET)
- Investment Advisor 13-2052.00
Source and verification
This record is Washington's report to the Analyst Resource Center, published by CareerOneStop (October 2024 export). Everything shown comes only from that report.
Before you apply, confirm every detail with Department of Financial Institutions — see the issuing body section above.
How we process this data. Not legal advice.