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Securities

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.

Highlights

  • Crypto coin advisories

    Not every ICO or cryptocurrency-related investment is fraudulent, but investors should approach any initial coin offering or cryptocurrency-related investment product with extreme caution.
    Adobe PDF Document Cryptocurrency Advisory

    Adobe PDF Document ICO Advisory

  • Binary Options Investor Advisory

    Investors should be cautious about schemes related to binary options amid the proliferation of online platforms and a growing number of related investor complaints.
    Adobe PDF Document Click here for the full Advisory

  • 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.

    Adobe PDF Document 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

Enforcement

Securities Registration and Exemption

Franchising