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