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Registration of Professionals

Securities Agent

A securities agent is a person who represents a broker-dealer or issuer in offering or selling securities to the public or soliciting someone to become a customer of a broker-dealer. All securities agents, regardless of their location, must be registered to conduct business with Wisconsin investors unless they qualify for an exemption from registration. There is no de minimis exemption for securities agents. Also, there is no such thing as an "unsolicited rule" that allows an agent to accept unsolicited orders from Wisconsin customers without being registered.

Click here for more information on Securities Agents, Broker-Dealer Agent.

Click here for more information on Securities Agents, Agent of the Issuer.