Since September, MAI has been owned by Galway Insurance Holdings, a New York-based financial services distribution company.
Gov. Jay Inslee says legislators need time to refine the program, the Washington Cares Fund.
The fund giant estimates the cuts save investors $18.9 million, based on fiscal-year comparisons.
The regulator says the firm failed to review more than 100 accounts for junk-bond concentrations.
Brett Moore will work in the firm’s Beverly Hills, California, office.
Pacific Edge Advisors constitutes a hometown acquisition for Beacon Pointe.
The agency says the firm distributed unregistered shares unlawfully and failed to file suspicious activity reports.
Lamont Financial Group operates from two bank offices in Mason City and Clear Lake, Iowa.
The deal for Cascadia Advisory Services will expand Mariner's presence in Portland, Oregon.
The principals of Charlotte, North Carolina-based Queens Oak Advisors, Leila Evans and Deems May, a former NFL player, will join MAI.
