The general public can use these resources to verify if financial entity is licensed or registered in the State of Vermont to conduct business. Industry partners can use these resources to verify if they are correctly licensed or registered in the State of Vermont.
Verify a License
Verify a Financial Professional
License Status
To confirm that a company or professional is licensed to conduct business in Vermont or another state, use the Nationwide Mortgage Licensing System and Registry (NMLS) Consumer Access.
Verify an Insurance License
License Status
You can verify if an insurance agent or company is actively licensed to do business in Vermont and what types of insurance they are authorized to sell.
Verify a Securities Professional
Registration
To find out whether a specific investment professional is registered in Vermont use FINRA's Broker Check to look up a firm or individual.
Violations or Complaints
To find out whether a specific investment professional has any known history of violations or complaints search the SEC website or contact the Securities Division.
SEC Investment Adviser Public Disclosure
For a history of violations or complaints with the division, or if you have questions or concerns regarding your broker-check research, please call us at 802-828-3420 or 877-550-3907. We can also be reached via email at dfr.securitiesinfo@vermont.gov.