Industry Information

Broker-Dealers & Agents

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It is unlawful for any person to transact business as a Broker-Dealer or Securities Agent in Wyoming unless they are registered. There are several steps Broker-Dealers and Securities Agents must complete to register to do business in Wyoming. The following information outlines the required steps for filing. Questions about Broker-Dealer and Securities Agent registrations may be directed to 307.777.7370 or emailed to the Compliance Auditor. Correspondence may be directed to:



Compliance Division
Attn: Compliance Auditor
Herschler Building East, Suite 100
122 W 25th St
Cheyenne, WY 82002-0020


Office Information

Herschler Building East
122 W 25th St
Suites 100 and 101
Cheyenne, WY 82002-0020

For additional information,
including driving directions,
please see the Contact Us page.

Office Hours

8:00 a.m. to 5:00 p.m. MST
Monday through Friday
(except for official state holidays)

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About Our Office

We have a long history of serving the public. Beginning in April 1869 with the appointment of the first Secretary of the Territory of Wyoming, Edward M. Lee, by United States President Ulysses S. Grant, this office has always served the public from the State Capitol Building. However, following the completion of the Capitol Renovation Project in 2019, the Office is now located at Herschler Building East, Suites 100 and 101.