Washington State Department of Financial Institutions (DFI), Securities Division, oversees the registration and licensing of Investment Advisers, investigates consumer complaints, provides valuations for old stock and protects consumers from fraudulent securities activities. The Securities Act of Washington and WAC 460-24A-060 provides details that investment advisers must meet for the license registration process.
The premium that you pay for a Washington Investment Adviser Surety Bond is dependent on credit and the bond amount required.
Sole proprietor investment advisers in Washington must pass within the past two years, the Series 65, Series 7 and Series 66 examinations. Approved designations include the CFP, ChFC, PFS, CFA and CIC.
Check out our FAQ page or What’s a Surety Bond? page. Should you need or choose to buy a surety bond, buy from us. SuretyGroup.com has been underwriting surety bonds throughout the U.S. for more than 35 years. When you work with us, you enjoy the unique benefit of dealing with a team of highly experienced surety agents with in-house underwriting authority. This allows you to receive competitive, low rates, quick approvals, and immediate bond delivery. In most cases, your bond will be delivered within 24 hours after you apply for it.
For a downloadable application