The Division of Securities registers and monitors the activities of broker-dealers, securities agents, investment advisers, and investment adviser representatives. The Division also conducts field audits of broker-dealer and investment advisers and investigates customer complaints. When violations of the securities law are detected, the Division initiates the appropriate administrative, injunctive, or criminal action. There are two bureaus within the Division: Enforcement and Professional Registration & Compliance.
Have a question? Call us
If you have a question about a broker-dealer, securities agent, investment adviser or investment adviser representative, call the Division of Securities at (608) 266-2139, Monday through Friday between 8 a.m. and 4:30 p.m.
Franchise Filing Important Notice
To promote sustainability and efficiency, all franchise registrations and amendments must be filed online with the Division.
Click Here for Online Franchise Filings
Financial Service Providers
This Informed Investor Advisory provides basic information on types of financial services professionals and their relationship with you as a client.Understanding different roles of financial professionals
Resources to Search for Financial Professionals
To check on the registration status of an agent or broker-dealer, you may use FINRA BrokerCheck.
You may check on an investment adviser or investment adviser representative at the Investment Adviser Public Disclosure website.
Registration of Professionals
- General Information
- Broker-Dealer Information
- Investment Adviser Information
- Securities Agent
- Investment Adviser Representatives
- Securities Fee Waiver for Veterans
- Request for Registrant List