Choosing an Investment Professional

There are more than a thousand brokerage firms available to sell you securities.  Some may have offices in Vermont, while others may conduct their business from outside the state via mail, telephone or by computer.  No matter where they are located, Vermont law requires all firms and their salespersons to be registered with the Vermont Securities Division.

Salespersons are often called “brokers”, “sales agent”, “account executive”; “financial consultant”; “registered representative”;  or “financial consultant”.  No matter the title, the registration requirements are the same.

The links listed below will provide you with valuable information so that you can become an informed investor.