About Us
Securities: About Us
Contact Us
OFFICE OF THE DIRECTOR
Benjamin Schrope, Acting Director
Benjamin.Schrope@rld.nm.gov
(505) 231.7467
2550 Cerrillos Road, Santa Fe, NM 87505
Jeanette Jenkins, Accountant/Auditor
(505) 231-5136
JeanetteE.Jenkins@rld.nm.gov
5500 San Antonio Drive NE, Albuquerque, NM 87109
LEGAL
Francisco Jimenez, Attorney
505-394-1742
Francisco.Jimenez@rld.nm.gov
5500 San Antonio NE, Albuquerque, NM 87109
Jackee Garcia, Law Clerk
505-469-6785
Jackee.Garcia@rld.nm.gov
2550 Cerrillos Road, Santa Fe, NM 87505
COMPLIANCE
Richard Dominguez, Compliance Officer
Broker Dealer/Investment Advisor Licensing
(505) 379-5295
Richard.Dominguez@rld.nm.gov
2550 Cerrillos Road, Santa Fe, NM 87505
Krystal N. Montaño, Securities Examiner
(505) 660-4178
Krystal.Montano@rld.nm.gov
5500 San Antonio Drive NE, Albuquerque, NM 87109
Rocio Cruz, Securities Examiner
(505) 274-2156
Rocio.Cruz1@rld.nm.gov
5500 San Antonio Drive NE, Albuquerque, NM 87109
Elena Salvidrez, Business Operations/Mutual Funds
(505) 331-6193
Elena.Salvidrez@rld.nm.gov
5500 San Antonio Drive NE, Albuquerque, NM 87109
ENFORCEMENT
Valerie Martinez, Forensic Analyst
(505) 206-0112
Valerie.Martinez2@rld.nm.gov
5500 San Antonio Dr NE
Albuquerque, NM 87109
Christopher Young, Supervising Special Agent
(505) 231-0864
Christopher.Young@rld.nm.gov
Robert Barr, Special Agent
(575) 202-0276
Robert.Barr@rld.nm.gov
Byron Abeyta, Special Agent
(505) 469-7949
Byron.Abeyta@rld.nm.gov
How to File a Securities Complaint
For instructions on filing a securities complaint in New Mexico, visit this link.
Verify Licensed Securities Professionals
Check Your Investment Professional
Investment Professional Search
Investment professionals are divided into two basic categories, brokers or agents of a broker-dealer and investment adviser representatives of an investment adviser. The websites listed below offer background information, such as:
- Civil judgments
- Criminal history
- Employment history
- Liens
- Material disclosures relating to customer complaints
- Regulatory actions
- Whether the individual is registered in a given jurisdiction
Information on broker-dealers and brokers (agents) can be found at the following link: Financial Industry Regulatory Authority
Information on investment advisers and investment adviser representatives can be found a t the following link: Investment Adviser Search
If you cannot find the individual or company listed or if you need assistance in interpreting the information you found, contact us for further assistance.
Industry Links
Below are some helpful links on securities topics.
U.S. Securities and Excahnge Commission (SEC)
Financial Industry Regulatory Authority (FINRA)
North American Securities Administrators Association (NASAA)