Best Financial Advisors in Woodinville, WA

TL;DR - Every text message, email, or letter you send to an advisor or broker in the United States-- and definitely in Washington State-- will be collected by a securities regulator once every 1-3 years for no particular reason, and some percentage of what you've sent will be read by them. We're watching you, but it's for your own good! Routine violations of client privacy by Big Brother It came to my attention recently that it is the routine practice for the DFI-- Washington State's financial regulatory authority-- to request all 'written' client communications to or from a financial advisor (like me) or a broker. The DFI will then comb through them, reading them as they see fit, under any circumstances they choose and at any time, without any good reason whatsoever. The 'reason' in this case is a mandatory, routine audit that in Washington state happens anywhere from annually to once every 3 years or so. No cause for anything suspicious is required, and all client communications are seized from advisors each time the audit is conducted. Advisors that refuse would be terminated and disallowed from working. If you weren't prone to protecting privacy as a general principle, you might think "why would communications between a financial advisor be worth keeping private?" #DFI #privacy #regulation #SEC...