The Securities Department protects Montana investors by regulating securities transactions. The department registers securities, brokerage firms, investment advisory firms and individuals working for those firms. Securities can take many forms, including stocks, notes, bonds, some partnership interests, variable annuities, and viatical settlements. The CSI also conducts regular fraud awareness events across the state.
Please contact us at 1-800-332-6148 if you have any questions regarding a broker or your investments. We are here to help.
Download list of Second Quarter Brokers
NOTICE TO FINRA BROKER-DEALER FIRMS
Montana does not require audited financials.
We are a paperless state.
Related Resources Investor Education
“How to Smell a Rat” Fraud Awareness handouts
Other Publications (IPT Booklets)
NAIC Publications (For reference only. Not for reprint)