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

Highlights

Registration of Professionals

Enforcement

Securities Registration and Exemption

Franchising