Verify a License

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 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.

SIRCON License Status

Complaints

Track the number of complaints that have been filed against Insurance Companies in the State of Vermont.

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. 

NMLS button

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.

FINRA Broker Check 

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.

Contact Information

Department of Financial Regulation
Commissioner Michael Pieciak
89 Main Street, Montpelier, VT 05620 - 3101
802-828-3301

Public Information
For public records, media inquiries, and press releases visit our Public Information web page

Twitter icon
Facebook icon
LinkedIn icon

 

 

 

 

Employee Information