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License Finder

Broker/Dealer and Agent
License Description Licensed securities broker-dealers, financial advisers and other investment professionals.
Licensing Agency
New Mexico Regulation & Licensing Department
New Mexico Securities Division
2550 Cerrillos Road, Third Floor, P.O. Box 25101
Santa Fe, NM 87505
(505) 476 4500
nona.lane@rld.nm.us and richard.dominguez@rld.nm.us
Active Status Active
Continuing Education Continuing education required to maintain license
Criminal Record Background check required
Exam Third-party exam required
License Type Stand-alone license
License Updated 09/05/2024
Physical Requirements No physical requirements

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