Securities Division

The primary mission of the New Mexico Securities Division is investor protection. Consistent with that purpose, the division seeks to preserve and strengthen a free and competitive securities market for New Mexico, increase investor confidence and thereby encourage the formation of capital, to promote integrity, fairness, and full disclosure in financial services. It accomplishes this goal by:

• Educating New Mexicans about the proper ways of raising investment capital and about the risks associated with investments
• Reviewing and approving some types of investment opportunities before issuers raise capital to ensure compliance with the law
• Discovering, stopping, and prosecuting those who violate the laws governing investment capital, or who commit fraud
• Licensing stock brokers and investment advisers whose business is to assist and advise investors

We are here to help you!

You can contact us at:

2550 Cerrillos Rd. – 3rd Floor
Santa Fe, New Mexico 87505
505-476-4580

NOTE: If you are trying to reach the Private Investigations Board regarding a Security Guard license, please call the Boards and Commissions Division of the New Mexico Regulation and Licensing Department at (505) 476-4622.

File a Complaint

Report Suspected Financial Exploitation of Vulnerable Adults

Search Enforcement Actions

Forms & Fees

Verify a License

Firms & Industry Professionals

Consumer Protection & Investor Education

Registering Securities and Exemptions

Statutes and Rules

News and announcements

File a Complaint

Report Suspected Financial Exploitation of Vulnerable Adults

Accessibility for Individuals Experiencing Physical or Cognitive Disabilities

Individuals with a physical or cognitive disability that requires reasonable accommodation in order to allow the individual to complete necessary forms or applications to obtain licenses or permits, or reasonable accommodations to participate in services or programs of the NMRLD, may contact Heather.Sanchez-Martinez@rld.nm.gov for assistance in reaching appropriate NMRLD staff.

New Mexico Regulation & Licensing Department | Contact Us | Sitemap
2550 Cerrillos Road, Santa Fe, NM 87505 | Get Directions
5500 San Antonio Dr., Albuquerque, NM 87109 | Get Directions
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ATTENTION

If you are trying to reach the Private Investigations Board regarding a Security Guard license, please call the Boards and Commissions Division of the New Mexico Regulation and Licensing Department at (505) 476-4622.

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