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.
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 (option 3) Monday through Friday between 8 a.m. and 4:30 p.m.News
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Understanding different roles of financial professionals
(PDF: 137 KB / 2 pages)
- Small Business Advisory: Crowdfunding
- Private Fund Adviser Exemption Order
- 2011 Wisconsin Act 32 Update
- Branch Office Online Now Accepts American Express Card Payments
Registration of Professionals
Lists of Licensees -- Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives- General Information
- Broker-Dealer Information
- Investment Adviser Information
- Securities Agent
- Investment Adviser Representatives
- Securities Fee Waiver for Veterans
Franchising
Enforcement
Securities Registration and Exemption
Federal Adviser Branch Office Filing
Branch Office Online Application
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Account Set-up Tutorial
(PDF: 49 KB / 9 pages)
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File a New Branch Tutorial
(PDF: 559 KB / 9 pages)
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Address Change for Existing Branch Tutorial
(PDF: 745 KB / 11 pages)
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Closings Tutorial
(PDF: 619 KB / 10 pages)
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Renewals Tutorial
(PDF: 747 KB / 11 pages)
