Washington State Retail Investors
Washington's tech sector — anchored by Amazon, Microsoft, and many other technology firms — has created a large population of retail investors with significant equity compensation in addition to personal savings accounts. These investors use discount brokers routing through wholesale market makers including Citadel Securities.
Washington State Regulatory Resources
The Washington State Department of Financial Institutions (DFI) Securities Division regulates securities activities in the state. Investors can file complaints with DFI, FINRA, and the SEC.
Tech Employees and Equity Compensation
Many Washington State retail investors hold equity compensation — stock options and RSUs — that requires trading activity. These employees are directly affected by execution quality when they exercise or sell their equity compensation.
Investor Resources
Washington State investors can access dfi.wa.gov for state resources and finra.org for federal resources.