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Securities and Investment Advisors

The Minnesota Department of Commerce registers securities agents, broker-dealers, and investment advisers while helping Minnesota consumers make informed decisions about their investments.

 
 


  • What We Do

    We ensure that investment products sold in Minnesota meet minimum standards of fairness and disclosure.

  • Registration and Licensing

    Find registration, licensing forms, and more for agents, broker-dealers, investment advisers, and federally registered advisers.

  • Enforcement Actions

    Enforcement actions taken against securities entities dating back to January 2000.

     

  • Registration Look Up

    Explains how to look up an individual's license status.

     

  • Securities Record Requests

    Filings submitted for registration or exemption by financial organizations are available to the public.

  • Opinions

    The commissioner may grant a written opinion in the areas of securities, franchises and subdivided land.

     

  • Securities Regulations

    Up-to-date rules and rule proposals for those selling securities and investment products in Minnesota.

     

  • Investment Advisers

    Information and resources tailored to investments advisors. Includes details on the Dodd-Frank Act.