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

News

  • Crowdfunding in Wisconsin

    A change in state securities laws that permits Wisconsin businesses to raise money through Internet crowdfunding sites takes effect June 1, 2014. The new law (2013 Wisconsin Act 52) allows a Wisconsin business to raise up to $1 million from state investors through crowdfunding portals. The amount that can be raised increases to $2 million if the issuer has had an audit in its most recent fiscal year, and has provided the audit to prospective investors and the Department of Financial Institutions (DFI).

    For additional information, go to www.wdfi.org/fi/securities/crowdfunding/default.htm

  • Financial Service Providers

    This advisory provides basic information on three types of financial services professionals and their obligations to you as a client.

    Adobe PDF Document Understanding different roles of financial professionals (PDF: 137 KB / 2 pages)
  • What's New?

    For more information about what's new in the Division of Securities, see our What's New page.

Registration of Professionals

Franchising

Enforcement

Securities Registration and Exemption

  • General Information
  • Securities Registration and Exemptions Online Search

    This online search allows customers to search for securities registrations and exemptions using filing name, date range, and security type.   Customers could use this online search, for example, to verify that a recently submitted securities registration had been received by DFI, and to view its status.

    This online search can be found here: DFI Online Application https://www.wdfi.org/apps/SecuritiesSearch/search.aspx

    This is a free service!

Federal Adviser Branch Office Filing

Other