Vermont Department of Financial Regulation

Vermont securities registration evidence

Vermont securities regulator source map. State investment advisers, SEC notice filings, exempt reporting advisers, IAR persons, broker-dealers, agents, and enforcement records remain separate populations.

Official regulator and lookup sources checked October 14, 2026. A current dated Vermont-jurisdiction roster was not acquired in this pass: NOT_ACQUIRED. This does not mean zero registrants.

Regulatory populations stay separate

• Vermont state investment adviser firms: state registration cohort; dated jurisdiction-based rows NOT_ACQUIRED.
• Federal covered advisers and notice filings: distinct SEC registration and state notice status.
• Exempt reporting advisers: separately reported category.
• Investment adviser representatives: individual persons, distinct from firms.
• Broker-dealers: firms; agents are persons and remain separate.
• Orders and enforcement: dated proceedings, classified by regulator program; no name-only adverse joins.

Use regulatory jurisdiction and filing status. Principal-office geography alone does not establish Vermont registration.

Official sources and clocks

• Vermont DFR Securities Division
• Vermont investment adviser registration
• Vermont broker-dealer agents and investment adviser representatives
• Vermont securities branch-office registration
• DFR license verification
• SEC Investment Adviser Public Disclosure (IAPD)
• FINRA BrokerCheck

DFR and IAPD/CRD pages are live lookup sources checked October 14, 2026; no dated bulk Vermont-jurisdiction extract was acquired. Federal notice filings, state adviser registrations, IAR persons, broker-dealers, and agents are distinct populations.