Washington State Department of Financial Institutions

Broker-Dealers and Securities Salespersons Licensing

Information about Washington State Broker-Dealers and Securities Salespersons licensing.

What's New

Information for Applicants

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.