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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.


Registration of Professionals



Securities Registration and Exemption

Federal Adviser Branch Office Filing