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License Finder

License Finder

AGENT FOR SECURITIES ISSUER
License Description If an issuer of securities does not wish to use a broker-dealer to distribute its securities to the public, it may decide to market them directly to the public. Issuers may choose to have an officer, director or other employee make the solicitations and effect the sales or they may hire a third party specifically for the purpose of soliciting buyers. These individuals may be considered Agents-of-the-Issuer as that term is defined in the Wisconsin Uniform Securities Law. Depending on a number of factors, these agents may need to be registered with the Division before commencing any solicitation activities. One important factor is the security registration or exemption used to qualify the offering for sale in the state.
Licensing Agency
WI Dept of Financial Institutions
Division of Securities
201 W Washington Ave, Suite 300, P.O. Box 1768
Madison, WI 53707-1768
(608) 266 2139
Active Status Active
Criminal Record No criminal record prohibitions
License Type Stand-alone license
License Updated 12/02/2020
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