Registration & Exemptions, Licensing, and Inspections
The Securities Division reviews a variety of applications for registration, exemption notice filings, and licensing applications. The Division also conducts on-site inspections. Further information about these activities is provided below.
Note: Beginning July 1, 2006, the Division of Consumer Services administers Escrow Agents instead of the Division of Securities. Escrow related pages, forms, and links have been updated to reflect this change. Please contact the Division of Consumer Services at email@example.com or by calling 360-902-8703 with any questions.
Registration & Exemptions
We review and analyze applications and related documents, including prospectuses, financial statements, and contracts to determine compliance with applicable requirements and ensure that adequate disclosure is provided to prospective investors. Members of our Small Business Assistance Program provide extra assistance to small companies throughout the filing process.
Click on the following links for further information regarding registration & exemptions:
Search the Files (Search the securities, franchise, business opportunity and exemption database)
Questions regarding registration or exemptions? If you have questions
about registration or exemptions, e-mail Jill Vallely at (Jill.Vallely@dfi.wa.gov) or call 360-902-8760 and request to speak with
a Securities representative.
The Securities Division licenses broker-dealers, investment advisers, securities salespersons, investment adviser representatives, agents of issuers, and franchise brokers that operate in Washington state. We review firm applications for factors such as qualifications of principals, firm disciplinary history and financial solvency. Salesperson and representative applications are generally reviewed for qualifying examinations and disciplinary background.
For more information, click on the following links:
Questions about licensing? For questions about broker-dealer licensing, e-mail IALicensing@dfi.wa.gov or call 360-902-8815. For questions about investment adviser licensing, e-mail (firstname.lastname@example.org) or call 360-902-8815.