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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
Benjamin.Schrope@rld.nm.gov
https://www.rld.nm.gov/securities-division/
Active Status
Active
Continuing Education
No continuing education requirement to maintain license
Criminal Record
No criminal record prohibitions
Education
Specific course required
Exam
No exam required
License Type
Tied to business
License Updated
08/15/2023
Physical Requirements
Some physical requirements
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Occupational license information is from the
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