About 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

Alissa Berger, Securities Attorney
(505) 503-5987
Alissa.Berger@rld.nm.gov
5500 San Antonio Drive NE, Albuquerque, NM 87109

Stephanie Varoz, Law Clerk
505-469-3090
Stephanie.Varoz@rld.nm.gov
2550 Cerrillos Road, Santa Fe, NM 87505

COMPLIANCE

Nona Lane, Compliance/Registration Manager
(505) 670-6439
Nona.Lane@rld.nm.gov
5500 San Antonio Drive NE, Albuquerque, NM  87109

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

Monica Romero, Compliance Officer
Mutual Fund & Rule 506, Reg D Registrations
(505) 331-6193
Monica.Romero2@rld.nm.gov
2550 Cerrillos Road, Santa Fe, NM 87505

ENFORCEMENT

Valerie Martinez, Forensic Analyst
(505) 206-0112
Valerie.Martinez2@rld.nm.gov
5500 San Antonio Dr NE
Albuquerque, NM  87109

Greg Stover, Supervising Special Agent
(505) 490-2063
Gregory.Stover@rld.nm.gov

Robert Barr, Special Agent
(575) 202-0276
Robert.barr@rld.nm.gov

Michael Thompson, Special Agent
(505) 494-0928
Michael.Thompson@rld.nm.gov

Christopher Young, Supervising Special Agent
(505) 231-0864
Christopher.Young@rld.nm.gov

For instructions on filing a securities complaint in New Mexico, visit this link.

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.

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)

State Securities Regulators