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Broker Dealer

Information and resources available to consumers, broker dealer firms, their representatives.


 
 


  • What We Do: Broker Dealers

    Broker dealers and their representatives are regulated by the Department of Commerce, please find more information here.

  • Licensing and Registration

    Broker Dealers, their representatives and the securities they sell must be registered in the State of Minnesota, find more information here.

  • Broker Dealer and Agent Look-up

    Check your broker dealer’s record and research the background of your registered representative here before you do business with them.

  • Recent Events Impacting Broker Dealers

    Find up to date information and resources about broker dealers and the industry.

  • Frequently Asked Questions

    Check the list of Frequently Asked Questions before you call the Minnesota Department of Commerce-Securities Division.