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Washington Broker-Dealer Compliance
Washington is the Pacific Northwest's largest RIA market. FIN Group provides fractional CCO services, Form BD filings, annual reviews, and exam support for Broker-Dealers operating here.
Who needs to register in Washington
Any Broker-Dealer with a principal place of business in Washington, or with clients located in Washington above the de minimis threshold, must register with the Washington State Department of Financial Institutions or — if eligible — with the SEC.
Washington-specific nuance
Washington charges $375 for state RIA registration and requires audited financials for advisers with custody of client assets.
Regulator: Washington State Department of Financial Institutions
Annual obligations for Broker-Dealers
The core federal calendar that applies on top of Washington's requirements:
- Maintain FINRA membership and Form BD currency
- File quarterly FOCUS reports (Form X-17A-5)
- Maintain Written Supervisory Procedures (WSPs) covering all business lines
- Conduct annual Rule 3120 compliance testing and Rule 3130 CEO certification
- Comply with Reg BI for all retail recommendations (Form CRS required)
- Run AML program under FinCEN with annual independent testing
How FIN Group helps Washington Broker-Dealers
Fractional CCO
A named, senior CCO who owns your Form BD filings, annual review, and exam response.
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RegReview tracks every state, federal, and firm-level deadline with automatic reminders.
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ADScanner reviews every piece of marketing for Rule 206(4)-1 / FINRA 2210 issues in seconds.
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InvestPrep handles KYC, AML, and subscription documents end-to-end.
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Also exploring a different registration type? Washington RIA · Washington Private Fund
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