Securities Division

Michael Pieciak
Michael Pieciak
Deputy Commissioner

The Vermont Securities Division is responsible for regulating the securities industry in the state of Vermont.  Securities can take many forms, including stock, notes, bonds, some partnership interests, variable annuities, viatical settlements, among many others.   So what is a security?

Our Investor Information section has something for Vermonters of all ages, whether you are looking for information on investing basics, the latest investor alerts or wish to file a complaint.  You can also get information regarding our Investor Education program; check our calendar of events or learn how you can book an investor education seminar for your civic group or classroom.

To contact us by telephone please dial 802-828-3421.  Our fax is 802-828-2896.

To reach us by email DFR.SecuritiesInfo@state.vt.us