Find A Registered Professional

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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 our online registry of registered investment professionals.  NOTE: This registry contains names of individuals registered with the Vermont Securities Divsion who conduct business from an office within the State of Vermont.
  • For a history of violations or complaints with the Divison, you may Call us at 802-828-3420, toll free at 1-877-550-3907 or email us.
  • 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