Washington requires Series 63 (or Series 66 where accepted) plus the activity-appropriate national qualification. General securities salespersons use Series 7/63; limited registrations use the corresponding limited exam/63. The firm files the salesperson registration and scope follows the qualifying exam. Current state fee evidence is $50 initial and $30 renewal; live recheck required.
Source: DFI registration and examination architecture (https://dfi.wa.gov/securities-broker-dealers/registration-non-finra-firms).
Prelicensing education
- Education requirement explanation
- Qualification and any accepted alternative or waiver must match the current state rule; exam passage alone is not registration.
Background
- Fingerprint / background instructions
- Form U4 disclosures and regulator follow-up apply; no separate fingerprint requirement is inferred unless expressly documented.
Application
- Application fee
- Current state fee evidence is $50 initial and $30 renewal; live recheck required.
- Application channel / system
- File through the applicable CRD/IARD channel and obtain state approval before regulated activity.
- Official application reference
- https://dfi.wa.gov/securities-broker-dealers/registration-non-finra-firms
Renewal & maintenance
- CE hours
- FINRA, state, and firm continuing-education duties depend on effective registrations and current rules.
Portability
- Portability / mobility notes
- Registration is firm-, function-, and jurisdiction-specific; examination validity and approval are separate.
Military / veteran / spouse
- Military experience / education credit
- No broad military credit is asserted unless expressly documented.
Source governance
- Primary authoritative source
- https://dfi.wa.gov/securities-broker-dealers/registration-non-finra-firms
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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