Find A Registered Professional
Before you part with your money, investigate the seller. We can't tell you how to invest your money, but we can tell you if the seller is registered. By law, broker-dealers and some investment advisors must be registered in Vermont to do business here. Dealing with an unregistered seller or advisor greatly increases the risk of harm to you as an investor.
How can I check to find out whether a seller or advisor is registered?
To find out whether a specific investment professional is registered in Vermont or has any known history of violations or complaints, you may:
- Use FINRA's Broker Check to look up a firm or individual
- Use Investment Adviser Public Disclosure to search firms regulated by and registered with the SEC
- For a history of violations or complaints with the Division, or if you have questions or concerns regarding your broker-check research, please call us at 802-828-3421 or 1-877-550-3907(toll-free.) We can also be reached via email at DFR.SecuritiesInfo@state.vt.us.