Website will be DOWN Saturday, May 7th, 1:00 PM Central Time - Sunday, May 8th, 11:00 PM Central Time for Maintenance.


WI DFI Facebook

NMLS Resource Center NMLS Consumer Access

Broker-Dealer Public Disclosure Investment Adviser Check

Get Adobe Reader

DFI Secretary participates in Belleville 'Big Read'

BELLEVILLE - DFI Secretary Lon Roberts and Assistant Deputy Secretary Alex Ignatowski participated in a "Big Read" event at Belleville schools on April 28, 2016. "The Big Read" is a statewide event for children in grades PreK-4 held during Money Smart Week Wisconsin, which was celebrated April 23-30. At dozens of locations across the state, adults read "Start Saving, Henry!" by Nancy Carlson to students.

Also participating in the event was William Wilcox, who is chair of the Governor's Council on Financial Literacy, and his wife, Julie. Pictured above, left to right, are: Alex Ignatowski; William Wilcox; Julie Wilcox; Belleville Superintendent Pam Yoder; and Secretary Roberts.

Important Notice Regarding Franchise Registrations

The Wisconsin Department of Financial Institutions would like to let you know about an important change we will be making to our registration process for franchises. Approximately three years ago, we unveiled our electronic filing system, which has been enthusiastically embraced as a more convenient and affordable option over filing on paper. Today, the majority franchise registration filings are made electronically.

In an effort to continue to encourage the more sustainable, efficient, and effective registration process provided through the electronic filing system, the Division of Securities will only accept franchise registrations filed electronically after May 31st, 2016.

This date was selected by the Division in recognition of how busy March, April, and May are for franchises that make annual filings during this time. While not required prior to May 31st, 2016, we encourage you to become familiar with the electronic filing process at your earliest convenience.

You can check out the e-Filing website for Wisconsin here: www.wdfi.org/apps/franchiseefiling

If you have questions about the electronic franchise filing system, please call 608-266-0448.

Investor Alert: Retirees, Be on the Lookout for Pension Advance Scams!

MADISON - The Department of Financial Institutions today released the following investor alert regarding Pension Advance scams from the North American Securities Administrators Association:

A pension is a type of retirement plan, usually tax-exempt, in which an employee makes contributions toward a pool of funds set aside for an employee's future benefit. The pool of funds is invested on the employee's behalf, allowing the employee to receive benefits upon retirement.

  • Are you earning a pension from your employer and need cash fast?
  • Are you an investor looking for new ways to grow your investment dollars?
If you answer yes to either question, you may be the target of a new wrinkle on an old type of scam.

The full press release may be found at www.wdfi.org/Newsroom/Press.

Money Smart Week® Wisconsin Scheduled for April 23 - 30

Madison - Dozens of communities across the state will celebrate Money Smart Week® Wisconsin, April 23-30, with hundreds of events focused on improving the personal financial awareness of Wisconsin citizens, the Department of Financial Institutions (DFI) announced today.

Money Smart Week® Wisconsin is the highlight of April as National Financial Literacy Awareness Month, a joint effort by state and federal government agencies and private-sector organizations to raise awareness of the importance and value of financial literacy.

The full press release may be found at www.wdfi.org/Newsroom/Press.

Working for Wisconsin: Governor Scott Walker Announces New State Student Loan Debt Specialist

Madison - Governor Scott Walker and the Wisconsin Department of Financial Institutions (DFI) announced today the creation of a Student Loan Debt Specialist position housed within the Office of Financial Literacy. This position will serve as an outreach coordinator to inform current and future student loan borrowers about potential debt management, investment, and educational options.

"College affordability is a priority for our administration," Governor Walker said. "This specialist will work with borrowers to inform them of their options and direct them to resources wherever possible. The creation of this position builds on our historic four-year tuition freeze for the UW System and our college affordability package."

The full press release may be found at www.wdfi.org/Newsroom/Press.