Securities

The Division of Securities registers and monitors the activities of broker-dealers, securities agents, investment advisers, and investment adviser representatives. It also conducts field audits and investigates complaints and when violations are detected, it initiates the appropriate administrative, injunctive, or criminal action. There are 4 groups within the division; Registration of Professionals, Franchising, Enforcement and Securities Registration and Exemption.

News

• 2011 Wisconsin Act 32 Update
• Branch Office Online Now Accepts American Express Card Payments
• US SEC Establishes New Switch Deadline for Investment Advisers

Registration of Professionals

• Lists of Licensees -- Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives
• General Information
• Broker-Dealer Information
• Broker-Dealer Guide
• Investment Adviser Information
• Investment Adviser Guide
• Securities Agent
• Securities Agent (Broker-Dealer Agent)
• Securities Agent (Agent of the Issuer)
• Investment Adviser Representatives

Franchising

• Franchising General Information
• Search Franchise Registrations

Enforcement

• Complaints and Enforcement

Securities Registration and Exemption

• General Information

Branch Office Online Tutorials

• Account Set-up Tutorial (PDF: 49 KB / 9 pages)
• Open a new Branch Tutorial (PDF: 559 KB / 9 pages)
• Amendments Tutorial (PDF: 745 KB / 11 pages)
• Closings Tutorial (PDF: 619 KB / 10 pages)
• Renewals Tutorial (PDF: 747 KB / 11 pages)

Other

• 2011 Investment Advisor Workshop Webinar
• Weekly Securities Filings
• Administrative Orders Issued
• Search Entity Records by Name