Securities Division

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Investment Advisers

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Broker Dealers

Overview
FAQs
Fees
Forms
Broker Check

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Registration of Securities, Claims of Exemption and Notice Filings

Overview
FAQs
Fees
Forms

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Broker Dealers: Overview

By law, broker-dealers must be registered in New Mexico to do business here. Dealing with an unregistered seller or advisor greatly increases the risk of harm to you as an investor. Examinations are conducted of broker-dealers and of their offices on a regular basis and/or in response to complaints

To learn whether the broker-dealer is properly licensed here in New Mexico, visit FINRA BrokerCheck.

To check for disciplinary actions involving a broker dealer and their representatives, visit FINRA Disciplinary Actions Online Database.

ATTENTION: FINANCIAL STATEMENTS ARE NOT REQUIRED TO BE SUBMITTED ANNUALLY.

Contact Information:

505.476.4581
Nancy Huerta – Compliance Officer

nancy.huerta@state.nm.us

505.476.4584

Rosemarie Ulibarri - Compliance Manager

rosemarie.ulibarri@state.nm.us

Upcoming Events

5/31/2013
5/31/2013 - NMBOP Pharmacy Law Update
Location:
NMBOP Office
5200 Oakland Ave NE Suite A
Albuquerque New Mexico
87113

Latest News

Brothers Convicted on Charges of Stealing $440,000 from an Elderly Edgewood Couple in a Real Estate Investment Scam

SANTA FE – A Santa Fe jury today convicted two brothers on felony charges for stealing $440,000 in life savings from an elderly Edgewood couple in a real estate investment scheme.

UNDERSTAND THE DIFFERENT ROLES OF FINANCIAL PROFESSIONALS

Santa Fe - In recognition of Financial Literacy Month, the New Mexico
Regulation and Licensing Department, Securities Division, today reminded
investors of the importance of understanding the distinctions between the
various types of financial professionals.

Energy Codes Press Release 04-25-2013

SANTA FE - The New Mexico Court of Appeals has issued an Order on April 23, 2013 for Rehearing in the case of Southwest Energy Efficiency Project, et al v. The New Mexico Construction Industries Commission and the New Mexico Construction Industries Division. 

Previously, the New Mexico Court of Appeals issued a Memorandum Opinion in this matter on April 4, 2013. The Court’s order for a Rehearing has the effect of suspending the opinion of the court until its final determination.

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New Mexico Regulation & Licensing Department
Ph (505)476-4500 | Contact Us | Sitemap
Toney Anaya Building, 2550 Cerrillos Road, Santa Fe, NM 87505 | Get Directions
5200 Oakland Avenue NE, Albuquerque, NM 87113 | Get Directions

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