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Registration Look Up


How to Check an Individual's License Status

When considering the purchase of investment products, it is important to understand the products and the risks involved. It is also a good idea to check on the licensing status and background of the agent, broker-dealer or investment adviser you are working with. Department staff can also check the registration status of securities, franchises, subdivided land and camping club memberships.

Public information is available on every individual and company licensed by the department. This includes licensing information, enforcement actions and other data not protected under Minnesota's Data Privacy laws. Information about cases currently under investigation cannot be revealed.

To check the license of a securities agent, broker-dealer or investment adviser licensed by the department:

To determine if a security, franchise, subdivided land or camping membership is registered:

Registration files are open to the public. Staff is available to answer questions from investors, the regulated industry and the general public.

Telephone or e-mail inquiries

If you have questions regarding any of the areas that the Registration Division regulates, call 651-296-4973 or email the securities division at securities.commerce@state.mn.us.