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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 608-266-1064 (Press Option 3) Monday through Friday between 8 a.m. and 4:30 p.m.


  • Franchise Filing Important Notice

    In an effort to continue encouraging 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 31, 2016.

  • 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.

Quick Links

Registration of Professionals


Securities Registration and Exemption