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  • Washington Investment Advising Firm Licenses and Permits

    Washington State is home to forests, mountains, rivers, lakes, volcanoes, beaches and bays. So, it's not surprising that a state with such natural beauty works hard to find a balance between safeguarding the environment, protecting consumers and maintaining a thriving business community. Like most western states, Washington has a fair amount of state and city level licenses. However, it maintains fewer than neighboring Oregon or giant California below that.

    In Washington, investment Advisers provide financial advice and perform securities transactions for an annual flat-fee from their clients. This is designed to make it so advisers do not hold a personal stake in performing transactions and therefore give their clients the best possible advice. Still, the federal government licenses and monitors investment advisers as do state regulators.

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