The Division’s Compliance section regulates the licensed firms and individuals conducting securities business in New Mexico. This includes:
- Reviewing and processing the licensing applications for broker-dealers, broker-dealer agents, investment advisers, investment adviser representatives, and issuer sales representatives;
- Investigating complaints filed with the Division that involve a licensed firm or individual;
- Handling public inquiries about licensed firms or individuals; and
- Taking administrative actions against licensees for violations of New Mexico Uniform Securities Act or referring the matter for civil action or criminal prosecution.
To check whether your broker is licensed in New Mexico, please use go to the tab License/Disclosure Check through the Financial Industry Regulatory Authority's FINRA BrokerCheck®. For a detailed list of disclosures/complaints contact the New Mexico Securities Division.