Washington fines Cultivating Wealth $7,500 over unregistered adviser representative
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Washington's Department of Financial Institutions has entered a consent order against The Stanich Group, LLC, doing business as Cultivating Wealth, over an employee who worked as an investment adviser representative in the state without being registered or exempt. The order sets out the fine, costs and cease and desist terms.
- Washington DFI entered Consent Order S-25-4050-26-CO01 against The Stanich Group, LLC d/b/a Cultivating Wealth on October 12, 2026.
- The order cites a violation of RCW 21.20.040 for acting as an unregistered investment adviser representative in Washington.
- The firm must pay a $7,500 fine and $750 in investigative costs.
- The order includes a cease and desist directive against further unregistered activity.
Executive summary
Washington's Department of Financial Institutions, Division of Securities, entered Consent Order S-25-4050-26-CO01 on October 12, 2026 against The Stanich Group, LLC, doing business as Cultivating Wealth. The order cites RCW 21.20.040. The finding states that the respondent's employee acted as…
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Source documents
https://dfi.wa.gov/securities-enforcement-actions/stanich-group-llc-dba-cultivating-wealthRead by Regulus 20 Oct 2026 at 19:26 UTC
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