Washington accepts Series 65 or SIE plus Series 7 and Series 66. Exams must generally be within two years unless the person was registered in Washington/another state within two years or holds an approved good-standing designation (CFP, ChFC, PFS, CFA, CIC). Form U4/approval remains required.
Source: DFI IAR registration (https://dfi.wa.gov/investment-advisers/investment-adviser-representative).
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
- $50 initial; $30 Washington renewal plus the currently listed $15 IARD system renewal fee.
- Application channel / system
- Form U4/approval remains required.
- Official application reference
- https://dfi.wa.gov/investment-advisers/investment-adviser-representative
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/investment-advisers/investment-adviser-representative
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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