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Securities Unit: What We Do

The Minnesota Department of Commerce – Securities Unit regulates the sale and registration of securities, franchises, subdivided lands, timeshares, and the delivery of financial advice.  

The Securities Unit protects consumers and investors and ensures that the expansion of Minnesota’s economy occurs in a prudent and responsible fashion by overseeing and enforcing the Minnesota Securities Laws by:

  1. Registering brokerage firms, representatives of brokerage firms, investment adviser firms, franchises and timeshares.
  2. Performing audits and examinations of persons who engage in activities we regulate, in order to improve compliance and prevent fraud.
  3. Investigating and litigating on behalf of the State against those who commit violations of the Minnesota Securities and Franchise Laws.
  4. Providing public education and awareness, in order to facilitate investor protection.

For more information:

Check the license status of Broker Dealers, Financial Advisors, and Registered Representatives & Franchises

How to Contact Us:

Minnesota Department of Commerce
Securities Unit 
85 7th Place East, Suite 500
Saint Paul, MN 55101-2198

Securities Unit: 651-539-1638 
Department of Commerce: 651-539-1500