Investor Resources General Information

​​​​​​​​The Division of Securities has made investor education for Wisconsin investors a top priority. Being a well-informed investor is the best protection against making an unsuitable investment or becoming a victim of investment fraud.

The division offers several resources about working with financial professionals, investing basics, senior investor resources, avoiding investment fraud and investor advisories.

The division also investigates complaints relating to alleged violations of the Wisconsin Uniform Securities Law, Wis. Stat. ch. 551​ and Wisconsin Franchise Investment Law, Wis. Stat. ch. 553. Reporting problems quickly to the division provides a better chance of determining whether there has been a violation of state laws. It is often through inquiries and complaints from individuals that serious violations are detected.

The Wisconsin Department of Financial Institutions (DFI) regularly posts information of interest to Wisconsin consumers and investors on Facebook, Twitter, and LinkedIn. Please follow the DFI’s social media pages to receive notifications.

Other organizations helping investors:

The Securities and Exchange Commission (SEC) has a website devoted to investor education: SEC

The Financial Industry Regulatory Authority (FINRA) provides oversight to securities brokerage firms and offers investor education resources: FINRA For Investors

The North American Securities Administrators Association (NASAA), the national organization of state securities regulators, also includes various investor education resources on its website: NASAA Investor Education​

Contact Us

Phone: (608) 266-2139
Mailing Address:
Wisconsin Department of Financial Institutions
PO Box 1768
Madison, WI 53701-1768
Physical Address:
Wisconsin Department of Financial Institutions
Division of Securities
4822 Madison Yards Way, North Tower
Madison, WI 53705