'Contacting Federal And State Securities Authorities' – Written By New York Entertainment Attorney John J. Tormey III, Esq.
© John J. Tormey III, PLLC. All Rights Reserved.

This article is not intended to constitute, and does not constitute, legal advice with respect to your particular situation and fact pattern. Do secure counsel promptly, if you see any legal issue looming on the horizon which may affect your career or your rights. What applies in one context, may not apply to the next one. Make sure that you seek individualized legal advice as to any important matter pertaining to your career or your rights generally.

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There are two categories of readers most likely to appreciate this article:

I. Offeror-Side Research. Those researching the state securities laws of the fifty (50) United States, a process commonly known as "Blue Sky" research – including those doing so as intended "offerors" of securities, or else the representatives of intended offerors; and

II. Offeree-Side Research. Those others who are, in effect, prospective "offerees" – that is, those that have been offered investment opportunities or pitches, and wish to know more about their securities broker, dealer, or investment adviser before continuing to conduct communications or business with that broker, dealer, or adviser.

My New York entertainment, media, and arts law practice, and in addition my public interest work for my community, occasionally require me to interact with federal and state governmental authorities regulating securities within the fifty (50) United States.

Many people are disappointed to discover that there really is not a lot of uniformity in how each state and commonwealth maintains information about securities. The arguable exceptions would be the "FINRA" and "SEC" information discussed below. Yet individual states often maintain data and information that extend well beyond the "FINRA" and "SEC" materials. I will further explain.

In theory, the easiest way for a prospective customer or client conducting "offeree-side research" to confirm the public record of a putative securities broker, dealer, or investment adviser, is to simply ask them about it. Yet the problem here, is that many prospective customers do not want to do that, for fear of somehow insulting the broker, dealer, or adviser. You will probably preserve more goodwill with a professional, or any other contractor for that matter, if you research them and their background without actually telling them that you are researching them.

Moreover, while I usually avoid quoting old Russian proverbs or Ronald Reagan otherwise, the intelligent approach here is to "Trust, But Verify". There are also ersatz brokers, dealers, and investment advisers purporting to be part of the securities industry that emulate real brokers, dealers, advisers, and their respective functions. It’s best to check. Moreover, you can sometimes find out a lot of useful information about a broker, dealer, or investment adviser by first checking-out their public-record file – and in this regard, non-findings still qualify as findings. A non-finding is a good thing in most cases. Additionally, you can usually do all of this reasonably discreetly, without tipping-off the fact that you are doing it.

As for what basic steps one might take to find out more about a particular securities broker, dealer, or investment adviser in the United States, take heart. Again, there is some uniformity to the system as relating to FINRA (the "Financial Industry Regulatory Authority", a non-governmental entity) and the SEC (the "United States Securities and Exchange Commission", very much a governmental entity). There is some centralization of databasing as concerns FINRA and SEC, which is in turn shared with the individual states. Yet the system is not perfect and seamless.

In my view, there are four (4) important steps that should always be taken, when researching a broker, dealer, or investment adviser. These are the same steps that I take when checking out anyone in the securities realm whom I don't already know. In fact, I would take these same steps to update information, from time to time, even on those that I have known for many years. After all, a person’s status with any of the securities regulators and authorities can change over time. At any given time, California may know something that New York yet doesn’t, for example. You won't necessarily receive an automatic e-mail in your in-box telling you if and when a status-change happens with a broker, dealer, or investment adviser, even if you have previously set a verbatim Google Alert for that same person’s name in quotation marks.

In any event, here are the four (4) steps:

Step #1. Access FINRA’s "BrokerCheck", and look up that person and firm – whether or not that person has ever referred to themselves as a "broker". The link is here, followed by some contact-information for FINRA:

http://brokercheck.finra.org/
(800) 289-9999

Associate Regional Manager/Regional Operations Manager
FINRA (Financial Industry Regulatory Authority)
1735 K Street, NW
Washington, DC 20006 USA
1 (866) 397-3290 (fax)

FINRA (Financial Industry Regulatory Authority) - Investor Complaint Center
9509 Key West Avenue
Rockville, MD 20850-3329 USA

Step #2. Go to the United States Securities and Exchange Commission (SEC) Investment Adviser Public Disclosure (IAPD) Search, and look up that person and firm – whether or not that person has ever referred to themselves as an "investment adviser":

https://adviserinfo.sec.gov/

Step #3. Even if you have done the IAPD search as above, dig deeper. Contact the SEC directly. Here are distillations of some addresses and contact-points which I have used, to serve Freedom of Information Act (FOIA) requests for information upon SEC in the past. These fax numbers, e-mail addresses, mailing addresses, and room numbers may change from time-to-time, even frequently, so you will want to update the data imbued in these addresses, with your own findings from the Internet at: https://www.sec.gov

Chief FOIA/PA Officer, FOIA Branch Chief, and Staff Liaison
United States Securities and Exchange Commission (SEC), Office of FOIA Services
Station Place - 100 F Street NE, Mail Stop 2465 (Room 1120)
Washington, DC 20549-2736 USA
foiapa@sec.gov
(202) 551-8300 (phone)
(202) 772-9337 (fax)

United States Securities and Exchange Commission (SEC)
SEC Office of the General Counsel
Station Place - 100 F Street NE, Mail Stop 9612 (Room 1120)
Washington, DC 20549 USA

And sometimes, SEC will suggest that you instead (or also) FOIA the National Archives for SEC-related information. When this happens, I do both. So:

The National Archives and Records Administration
Office of Government Information Services (OGIS)
8601 Adelphi Road - OGIS
College Park, MD 20740-6001 USA
ogis@nara.gov
1 86-NARA-NARA (1-866-272-6272) (toll-free phone)
(202) 741-5769 (fax)

Step #4. Make contact with the state, commonwealth, or other relevant governmental authority or authorities. Start with the state in which the broker, dealer, or investment adviser does business – the state in which the broker, dealer, or adviser maintains an address. If the broker, dealer, or adviser maintains an address in multiple states, then check each such state, not just one of them. Confirm, at minimum, preferably on a paper print-out saved to your files, that the broker, dealer, or adviser is: (A) registered for that state’s purpose, (B) is in good standing (including paid-up on any dues and filing fees), and (C) has no record of public professional discipline, as discussed in more detail below.

Any jurisdiction or state historically has had an authority or authorities, which would be able to provide this type of information, by phone or otherwise. You can now do much of this on-line, including in and for New York. Yet in important cases, you want to be sure, which is why you are often well-advised to triangulate with a direct contact to the state governing authority itself, irrespective of what the relevant website or websites seem to indicate. Don’t always accept the first answer, and don’t always jump to the first conclusion.

If someone asks me (and thankfully, it’s a rare question) whether he or she should work with a broker, dealer, or adviser who has a record of public professional discipline, it would be a situation that would need to be handled with sensitivity and care. I would generally suggest that the questioner carefully and fully investigate, to the full extent possible, what the actual facts of the disciplinary action were or are, consider (as always) other options for choice of broker or dealer, and never work with anyone if they have any residual or remaining doubts about the person’s character once the de facto investigative process concludes.

Again, the whole essence of working with professionals, such as doctors, lawyers, accountants, and those with licensure in the securities realm, is that society has, in essence, pre-screened these people for you. Society has made them publicly-accountable. Their maintenance of their license to practice their craft indeed depends upon same. The whole essence of the societal distinction between professionals and others, is that you can look up a professional’s record. To fail to look up a professional's record before working with him or her, on the other hand, would be a big mistake. Yet it is a big mistake that people make all the time – and it is a big mistake that people have paid dearly for in the past.

Mindful of this recurrent concern, I decided to compile and publish the following list of "starting-point" links which I regularly use, when seeking to discern whether a specific broker, dealer, or investment adviser is in fact registered within a specific state or commonwealth here within the United States of America. Some of these links are less helpful than others, because some of these states are less helpful than others. For example, Pennsylvania and Tennessee are the worst that I have found thusfar, in terms of sharing securities-related information with a public requester. A number of the fifty (50) states of the union differ as to their definition of what constitutes a "public record" – that is, what information regarding a lawyer and a lawyer's practice and history is considered public information as opposed to private information.

When researching the status of a specific broker, dealer, or investment adviser in one of the fifty (50) states, therefore and again, I would urge that no one simply takes an Internet website's "word for it" alone. Instead, the web-gleaned information should be triangulated with additional information obtained by direct contact by phone, fax, e-mail, or mail with the same state securities authority that administers or otherwise authorizes the Internet database on brokers, dealers, and investment advisers. That is the reason why I have listed additional contact-information for each authority below, beyond just the Internet links. As you will see from clicking on the links in the below link-list, these state governmental authorities can be called something like "Securities Commission", “Securities Division”, "Securities Department", "Office of the Attorney General", "Department of Commerce", "Department of Finance", "Commissioner of Business Oversight", "Department of Banking", "Department of Insurance", "Investments Division", "Fraud & Consumer Protection Division", or a whole host of other words or phrases to similar effect. The names of the offices and departments, state to state, are truly all over the map. Perhaps someday, the format of the name of the state authority governing securities, will actually be unified across all fifty (50) states in a consistent manner. For now, "Department (or, 'Division') of Securities" appears to be the most common variant, and the search-term to which Google most reliably responds.

So therefore – this is not-unsophisticated subject matter. Before anyone jumps in to this particular link-list below, the following additional concerns should be carefully considered:

1. You Are At The Mercy Of Non-Unified State Law. Again, it is not easy to fully research a securities broker, dealer, or investment adviser in most any of the individual fifty (50) states of the union. Broker, dealer, and adviser registration, at its core, can be a matter of state law. Brokers, dealers, and advisers in the United States are typically registered in at least one state. If you are looking for complete uniformity and federalized systemic logic, you are looking at the wrong topic. States often have byzantine, arcane, fractionalized systems in place, often originating many decades ago, for maintaining their respective rolls of brokers, dealers, and advisers. A number of states were quite late to the proverbial table in terms of digitizing their databases and posting them to the Internet. Some states have even yet to do so. The landscape is ever-changing. The technology is ever-evolving. Therefore, no single article can possibly give you, the reader, full and plenary instructions on how to research a broker, dealer, or adviser in each of the fifty (50) states at any given hour or on any given day. The below link-list will change and will need to be updated. Even the NASAA database linked below was outdated when I last checked it, which was one of the reasons why I compiled this one. States will change and hopefully streamline their systems. Yet also keep in mind that there is a recurrent tension as between the beneficent governmental purpose of providing citizens free and easy access to information on the one hand - versus the need to protect governmental employees from harassment and over-communication, on the other hand. As time marches on, expect to see better technology, but also more by way of barriers-to-entry, such as cyber-requirements to create digital "accounts", and additional pay-for-information services. In any event, view the below link-list as your 50-state starting point. Contact me if you see the need for an update, or if you need an update. I am a member of the Bar, and an officer of the Court. I have a vested interest in this process working, and I help people whenever I can.

2. "Not My Department". To similar theme, remember that it is typically not just one office that handles all matters relating to brokers, dealers, or investment advisers in any particular state. Sometimes, one office handles the exams. A different office may handle registration. A different office may handle filing fees. And so forth. More mystifying, is the fact that not all the offices that you contact, will necessarily be state or governmental offices. Some offices may be within entities entirely separate from the state government, instead voluntary and self-regulating "associations" like FINRA comprised of workers who are not state employees. Some may operate like simple indices. Additionally, these days, sometimes, you may simply reach webmasters who administer and maintain the data. Do not think that, just because you have communicated with one state government or other office about a broker, dealer, or adviser registered in that jurisdiction, that you have therefore gleaned all available information about that broker, dealer, or adviser. There might be a lot more information about that broker, dealer, or adviser in other offices within that state, or even elsewhere.

3. Use A Checklist. Therefore, the best way to handle this reality, is to write out your own checklist of questions that you have about the broker, dealer, or adviser - before you write or call the first state office about that broker, dealer, or adviser. If the responding office cannot answer all the questions on your checklist, ask them what other department or office can. Here is an example of a checklist that I would use:

-What is the broker, dealer, or adviser’s full name, with middle name, middle initial, and all punctuation?
-Is this broker, dealer, or adviser assigned to any "registration number", however referenced in your jurisdiction?
-Do your records indicate any other name by which the broker, dealer, or adviser was ever known?
-Do your records indicate the name of the college or university that the broker, dealer, or adviser attended, and when he or she graduated?
-Do your records indicate the name of any graduate school that the broker, dealer, or adviser may have attended, and when he or she graduated?
-Do your records indicate when and where this broker, dealer, or adviser took or passed any examination, and for that matter, how many tries it took him or her?
-Do your records indicate the year and date upon which the broker, dealer, or adviser was first registered in your jurisdiction?
-Do your records indicate any specific departments, units, or authorities in which the broker, dealer, or adviser may have been registered?
-Do your records indicate any other states or jurisdictions in which the broker, dealer, or adviser may have been, or may be, registered?
-Do your records indicate the number of years which this broker, dealer, or adviser has worked in the securities industry?
-Do your records indicate any of the broker, dealer, or adviser’s work history – that is, where and at what firms or places this individual may have worked in the past, and when?
-Do your records indicate this broker, dealer, or adviser's address?
-Do your records indicate other contact-information for this broker, dealer, or adviser?
-Do your records indicate the firm or other individuals with which this broker, dealer, or adviser may be affiliated, if any?
-Do your records indicate whether or not this broker, dealer, or adviser is in good standing with your office, or anything else about this broker, dealer, or adviser's current registration status?
-Do your records indicate whether or not this broker, dealer, or adviser is current on all payment of dues?
-Do your records indicate whether this broker, dealer, or adviser has any past record of criminal convictions, criminal charges, violations of any securities or other laws, criminal or regulatory "disclosures", bankruptcies, consumer complaints, administrative actions, disciplinary actions, or other public professional discipline – including any actions taken by FINRA, any state regulator, any federal regulator, or any other jurisdiction or authority?
-Do your records provide any other information, available to the public, about this broker, dealer, or adviser?
-Thank you for your time. (Always).

4. As Examples. In an important situation, direct and corroborative further contacts to the relevant authorities are still well-advised. Certain states are notoriously difficult, requiring phone calls or other contacts to several different phone numbers at several different state offices to collect all publicly-available information on a broker or dealer's history. Good luck with Pennsylvania and Tennessee. In any event, there sometimes is no obvious one central repository of information within any given state. While the situation has improved in each state, it is a still a challenge to know that you have checked out every detail. That's why a written checklist is essential.

5. Do Not Rely Upon A Website Alone. Particularly in the context of searching with Internet websites, remember that just because you cannot find it, does not mean that it is not there. This is another great reason why further direct and corroborative further contacts to the relevant authorities are still well-advised. Some Internet search-engines are more "literal" than others. Some use "Soundex"-like technologies. Others may not. As for a subject near and dear to my heart, sometimes it is particularly difficult to use a website to search for names using a suffix like a Roman numeral after their last name, like "III". Sometimes the entry of the Roman numeral throws off the search-engine. It is not impossible that someone may need the assistance of a webmaster, or at least some posted "FAQ" text, in order to be instructed on how to properly enter a Roman numeral when searching a last name. In short, make sure that you dive deeper than the search-engine alone. The search-engine is a robot. Brokers, dealers, advisers, and regulators, are people.

6. The Federal Pathway Is Different Than The State Pathway. As indicated above, when researching brokers, dealers, and investment advisers, you should consider the federal system as separate and distinct from any state systems – even if the same broker, dealer, or adviser can in effect occupy both. Keep in mind that a separate process and procedure may be required for filing with the United States federal regulator, as opposed to a state regulator. Keep in mind that, just because you have communicated with one state government or other office about a broker, dealer, or adviser registered in that jurisdiction, it doesn’t mean that you have therefore gleaned all available information about that broker, dealer, or adviser. There might be a lot more information about that broker, dealer, or adviser in other offices – and you should know as much of it as you can, before you choose to work with a broker, dealer, or adviser. You need to do more than simply scan the broker, dealer, or adviser's own web-site and the "Wayback" machine.

7. Be Careful. Keep in mind that the below is a powerful list. Use it carefully, if you use it at all. While true, some of the people receiving your contacts resulting therefrom may be non-governmental personnel, others may be governmental employees of one kind or another. Communicate with them as carefully and respectfully, as you would communicate with a tax authority, or a zoning enforcement agent, or a state trooper. Even if you reach a harried clerk on the phone that seems less than courteous, take the high road. After all, you may well need to contact that very same person again, when you need to check out a second broker, dealer, or investment adviser. Those who work with matters of legal and financial significance, tend to keep good records, and tend to remember those with whom they have spoken or communicated. It’s a small world, and the securities regulation community is smaller still.

The link-list is here, and I hope that it proves helpful to you:

ALABAMA (AL)
http://www.asc.state.al.us/
Alabama Securities Commission
RSA Dexter Avenue Building
445 Dexter Avenue, Suite 12000
Montgomery, Alabama 36104 USA
(334) 242-2984 (phone)
1 (800) 222-1253 (toll-free phone)
(334) 242-0240 (fax)
asc@asc.alabama.gov

Alabama Securities Commission
P.O. Box 304700
Montgomery, Alabama 36130-4700 USA

ALASKA (AK)
https://www.commerce.alaska.gov/web/dbs/Securities.aspx
Alaska Department of Commerce, Community, and Economic Development
Division of Banking and Securities
550 West 7th Avenue, Suite 1850
Anchorage, Alaska 99501 USA
(907) 269-8140 (phone)
1 (888) 925-2521 (toll-free phone)
(907) 269-8146 (fax)
dbsc@alaska.gov

Alaska Department of Commerce, Community, and Economic Development Division of Banking and Securities
P.O. Box 110807
Juneau, Alaska 99811-0807 USA

Alaska Department of Commerce, Community, and Economic Development Division of Banking and Securities
333 Willoughby Avenue, 9th Floor - State Office Building
Juneau, Alaska 99801 USA
(907) 465-2521 (phone)
1 (888) 925-2521 (toll-free phone)
(907) 465-1230 (fax)

ARIZONA (AZ)
https://www.azcc.gov/Divisions/Securities/
Arizona Corporation Commission, Securities Division
1300 West Washington Street, 3rd Floor
Phoenix, Arizona 85007 USA
(602) 542-0662 (phone)
(602) 542-0326 (phone)
(602) 542-4242 (phone)
(602) 388-1335 (fax)
1 (866) VERIFY-9 (837-4399) (in-state toll-free phone)
securitiesdiv@azcc.gov
sec-aod@azcc.gov

ARKANSAS (AR)
http://www.securities.arkansas.gov/default.asp
Arkansas Securities Department, Office of the Commissioner
Heritage West Building, Suite 300
201 East Markham Street
Little Rock, Arkansas 72201-1692 USA
(501) 324-9260 (phone)
1 (800) 981-4429 (toll-free phone)
(501) 324-9268 (fax)
info@securities.arkansas.gov

CALIFORNIA (CA)
http://www.dbo.ca.gov/Licensees/Corporate_Securities_Law/
Commissioner of Business Oversight
State of California, Department of Business Oversight (DBO)
Attn: General Counsel/PRA - Consumer Services Office
1515 K Street, Suite 200
Sacramento, California 95814-4052 USA
(916) 327-7585 (phone)
(866) 275-2677 (toll-free phone)
(916) 322-1559 (fax)
(916) 322-1559 (fax)
ask.dbo@dbo.ca.gov

COLORADO (CO)
https://www.colorado.gov/pacific/dora/division-securities
Colorado Department of Regulatory Agencies, Division of Securities
1560 Broadway, Suite 900
Denver, Colorado 80202 USA
303-894-2320 (phone)
303-861-2126 (fax)
dora_securitieswebsite@state.co.us

CONNECTICUT (CT)
https://www.ct.gov/dob/cwp/view.asp?a=2249&q=299158
Connecticut Department of Banking
Securities and Business Investments Division, Division Director
260 Constitution Plaza
Hartford, Connecticut 06103-1800 USA
(860) 240-8295 (fax)
(860) 240-8230 (phone)
(800) 831-7225 (toll-free phone)

DELAWARE (DE)
https://attorneygeneral.delaware.gov/fraud/ipu/
Delaware Department of Justice, Office of the Attorney General
Fraud & Consumer Protection Division, Investor Protection Unit
Carvel State Office Building – 5th Floor
820 North French Street
Wilmington, Delaware 19801 USA
(302) 577-8424 (phone)
(302) 577-6987 (fax)
investor.protection@state.de.us

Delaware Department of Justice, Office of the Attorney General
Fraud & Consumer Protection Division, Investor Protection Unit
820 North French Street, 5th Floor
Wilmington, Delaware 19801 USA

DISTRICT OF COLUMBIA (DC)
https://disb.dc.gov/page/securities
District of Columbia Department of Insurance, Securities and Banking (DISB)
Securities Bureau
1050 First Street, NE, Suite 801
Washington, DC 20002 USA
(202) 727-8000 (phone)
(202) 354-1085 (fax)
disb@dc.gov

FLORIDA (FL)
https://www.flofr.com/sitePages/DivisionOfSecurities.htm
Florida Office of Financial Regulation (OFR), Division of Securities
Office of the Commissioner
200 East Gaines Street
Tallahassee, Florida 32399-0375 USA
(850) 487-9687 (phone)
(850) 410-9748 (fax)
ofr_oig@flofr.com

Florida Office of Financial Regulation (OFR), Division of Securities
401 NW 2nd Ave., Suite N708
Miami, Florida 33128-1796 USA
(305) 536-0308 (phone)
(305) 810-1100 (fax)

Florida Office of Financial Regulation (OFR), Division of Securities
400 West Robinson Street
Hurston South Tower, S225
Orlando, Florida 32801-1799 USA
(407) 245-0608 (phone)
(407) 245-0806 (fax)

Florida Office of Financial Regulation (OFR), Division of Securities
400 North Congress Avenue, Suite 310
West Palm Beach, Florida 33401 USA
(561) 837-5203 (phone)
(561) 616-1307 (fax)

Florida Office of Financial Regulation (OFR), Division of Securities
1313 Tampa Street, Suite 615
Tampa, Florida 33602-3394 USA
(813) 218-5308 (phone)
(813) 272-2498 (fax)

GEORGIA (GA)
http://sos.ga.gov/index.php/securities
Georgia Secretary of State, Securities and Charities Division
2 Martin Luther King Jr. Drive SE - Suite 317, West Tower
Atlanta, Georgia 30334 USA
(404) 654-6021 (phone)
1 (844) 753-7825 (toll-free phone)
(404) 656-0513 (fax)
registrations@sos.ga.gov

HAWAI'I (HI)
http://cca.hawaii.gov/sec/
Hawai'i Department of Commerce and Consumer Affairs
Business Registration Division – Commissioner of Securities
P.O. Box 40
Honolulu, Hawai'i 96810 USA
(808) 586-2744 (phone)
(808) 586-3977 (fax)
seb@dcca.hawaii.gov

Hawai'i Department of Commerce and Consumer Affairs
Business Registration Division – Commissioner of Securities
King Kalakaua Building
335 Merchant Street, Room 205
Honolulu, Hawai'i 96813 USA

IDAHO (ID)
http://www.finance.idaho.gov/
Idaho Department of Finance
800 Park Boulevard, Suite 200
Boise, Idaho 83712 USA
(208) 332-8000 (phone)
1 (888) 346-3378 (toll-free phone, within Idaho only)
(208) 332-8098 (fax)
finance@finance.idaho.gov

Idaho Department of Finance
P.O. Box 83720
Boise, Idaho 83720-0031 USA

ILLINOIS (IL)
http://www.cyberdriveillinois.com/departments/securities/
Office of the Illinois Secretary of State, Securities
Office of the Director
421 East Capitol Ave., 2nd Floor
Springfield, Illinois 62701 USA
(217) 782-2256 (phone)
(312) 793-1202 (fax)

Office of the Illinois Secretary of State, Securities
69 West Washington Street, Suite 1220
Chicago, Illinois 60602 USA
(312) 793-3384 (phone)

INDIANA (IN)
https://www.in.gov/sos/securities/index.htm
Indiana Secretary of State, Indiana Securities Division
302 West Washington Street, Room E111
Indianapolis, Indiana 46204 USA
(317) 232-6681 (phone)
(317) 232-6531 (phone)
1 (800) 223-8791 (toll-free phone)
(317) 233-3675 (fax)
securities@sos.in.gov

IOWA (IA)
https://iid.iowa.gov/consumers
Iowa Insurance Division
601 Locust Street - 4th Floor
Des Moines, Iowa 50309 USA
(515) 281-5705 (phone)
(877) 955-1212 (toll-free phone, within Iowa)
(515) 281-3059 (fax)
producer.licensing@iid.iowa.gov

KANSAS (KS)
https://www.ksinsurance.org/
Kansas Insurance Department, Office of the Securities Commissioner
109 SW 9th Street, Suite 600
Topeka, Kansas 66612-1215 USA
(785) 296-3307 (phone)
1 (800) 232-9580 (toll-free phone)
(785) 296-6872 (fax)
ksc@ks.gov

[For Freedom Of Information/Public Records Requests]:
Kansas Insurance Department, Office of the Kansas Securities Commissioner
Attn: KORA Coordinator
109 SW 9th Street, Suite 600
Topeka, Kansas 66612-1215 USA

KENTUCKY (KY)
http://kfi.ky.gov/Pages/securities.aspx
Kentucky Department of Financial Institutions, Securities Division
1025 Capital Center Drive, Suite 200
Frankfort, Kentucky 40601 USA
(502) 573-3390 (phone)
1 (800) 223-2579 (toll-free phone)
1 (502) 573-2182 (fax)
kfi@ky.gov

LOUISIANA (LA)
http://www.ofi.state.la.us/Securities%20Front.htm
Louisiana Office of Financial Institutions, Securities Division
8660 United Plaza Boulevard, 2nd Floor
Baton Rouge, Louisiana 70809 USA
(225) 925-4512 (phone)
1 (877) 516-3653 (toll-free phone)
(225) 925-4511 (fax)
ofila@ofi.la.gov

MAINE (ME)
https://www.maine.gov/pfr/securities/index.shtml
Maine Department of Professional & Financial Regulation, Office of Securities
121 State House Station
Augusta, Maine 04333 USA
(207) 624-8551 (phone)
1 (877) 624-8551 (toll-free phone, in Maine)
(207) 624-8404 (fax)
judith.m.shaw@maine.gov

Maine Department of Professional & Financial Regulation, Office of Securities
76 Northern Avenue
Gardiner, Maine 04345 USA

MARYLAND (MD)
http://www.marylandattorneygeneral.gov/Pages/Securities/default.aspx
Maryland Securities Commissioner
Office of the Attorney General of the State of Maryland, Maryland Securities Division
200 St. Paul Place
Baltimore, Maryland 21202 USA
(410) 576-7786 (phone)
(410) 576-6404 (fax)
securities@oag.state.md.us
oag@oag.state.md.us
consumer@oag.state.md.us

MASSACHUSETTS (MA)
https://www.sec.state.ma.us/sct/sctidx.htm
Secretary of the Commonwealth of Massachusetts, Securities Division
McCormack Building - One Ashburton Place, 17th Floor
Boston, Massachusetts 02108 USA
(617) 727-3548 (phone)
1-800-269-5428 (toll-free, Massachusetts only)
617-248-0177 (fax)
securities@sec.state.ma.us

MICHIGAN (MI)
https://www.michigan.gov/lara/0,4601,7-154-61343---,00.html
Michigan Department of Licensing and Regulatory Affairs
Corporations, Securities & Commercial Licensing Bureau
Ottawa Building - 611 W. Ottawa - P.O. Box 30004
Lansing, Michigan 48909 USA
(517) 335-5237 (phone)
(517) 373-8488 (phone)
(517) 241-6470 (phone)
(517) 241-0538 (fax)
(517) 373-8488 (fax)
lara-cscl-securities-audit@michigan.gov
larafoiainfo@michigan.gov
csclonline@michigan.gov
corpsmail@michigan.gov

Michigan Department of Licensing and Regulatory Affairs
Corporations, Securities & Commercial Licensing Bureau
Securities & Audit Division
PO Box 30018
Lansing, Michigan 48909 USA

Michigan Department of Licensing and Regulatory Affairs
Corporations, Securities, & Commercial Licensing Bureau
2501 Woodlake Circle
Okemos, Michigan 48864 USA

MINNESOTA (MN)
https://mn.gov/commerce/industries/securities/
Minnesota Department of Commerce, Securities Unit
85 East 7th Place East, Suite 500
Saint Paul, Minnesota 55101 USA
(651) 539-1638 (phone)
(651) 296-4328 (fax)
securities.commerce@state.mn.us

MISSISSIPPI (MS)
http://www.sos.ms.gov/Securities/Pages/default.aspx
Mississippi Secretary of State, Securities Division
Broker-Dealer and Investment Adviser Licensing and Compliance
125 South Congress Street
Jackson, Mississippi 39201 USA
(601) 359-6367 (phone)
(601) 359-1334 (phone)
(601) 359-9070 (fax)

Mississippi Secretary of State, Securities Division
Broker-Dealer and Investment Adviser Licensing and Compliance
P.O. Box 136
Jackson, Mississippi 39205-0136 USA

MISSOURI (MO)
https://www.sos.mo.gov/securities
Office of the Missouri Secretary of State
Securities Division – Investor Protection and Securities
600 West Main Street, Room 229
Jefferson City, Missouri 65101-1276 USA
(573) 751-4136 (phone)
1 (800) 721-7996 (toll-free phone)
(573) 526-3124 (fax)
securities@sos.mo.gov

MONTANA (MT)
https://csimt.gov/
Office of the Montana State Auditor
Commissioner of Securities & Insurance (CSI)
840 Helena Avenue
Helena, Montana 59601 USA
(406) 444-2040 (phone)
(800) 332-6148 (toll-free phone)
(406) 444-3497 (fax)
(406) 444-3413 (fax)
csi@mt.gov

NEBRASKA (NE)
https://ndbf.nebraska.gov/
Nebraska Department of Banking and Finance, Bureau of Securities
PO Box 95006 - 1526 K Street #300
Lincoln, Nebraska 68508 USA
(402) 471-3445 (phone)
(402) 471-2171 (phone)
1 (877) 471-3445 (toll-free phone)
dob.webmasters@nebraska.gov

NEVADA (NV)
https://www.nvsos.gov/sos/sos-information/office-facts/faqs-all-division/securities-licensing-registration
Nevada Secretary of State, Securities Division
North Las Vegas City Hall
2250 Las Vegas Boulevard North, Suite 400
North Las Vegas, Nevada 89030 USA
(702) 486-2440 (phone)
(702) 486-2452 (fax)
nvsec@sos.nv.gov
sosmail@sos.nv.gov

Nevada Secretary of State, Securities Division
Nevada State Capitol Building
101 North Carson Street, Suite 3
Carson City, Nevada 89701 USA
(775) 684-5708 (phone)
(775) 684-5725 (fax)

NEW HAMPSHIRE (NH)
http://sos.nh.gov/sec_reg.aspx
New Hampshire Department of State, Bureau of Securities Regulation
107 North Main Street #204
Concord, New Hampshire 03301-4989 USA
(603) 271-1463 (phone)
(603) 271-7933 (fax)
1 (800) 994-4200 (toll-free phone)
securities@sos.nh.gov

New Hampshire Department of State, Bureau of Securities Regulation
State House Annex, 3rd Floor
25 Capitol Street, Suite 317A
Concord, New Hampshire 03301 USA

NEW JERSEY (NJ)
https://www.njconsumeraffairs.gov/bos
New Jersey Bureau of Securities (BOS), Office of the Chief
New Jersey Division of Consumer Affairs
153 Halsey Street #6
Newark, New Jersey 07102 USA
(973) 504-3600 (phone)
(973) 648-3956 (fax)
njbos@dca.lps.state.nj.us

NEW MEXICO (NM)
http://www.rld.state.nm.us/securities-division/
New Mexico Regulation & Licensing Department, Securities Division
2550 Cerrillos Road - 3rd Floor
Santa Fe, New Mexico 87505 USA
(505) 476-4580 (phone)
(505) 476-7704 (fax)

NEW YORK (NY)
https://ag.ny.gov/bureau/investor-protection-bureau
Office Of The New York State Attorney General – Investor Protection Bureau
New York State Capitol Building
28 Liberty Street, 21st Floor
New York, NY 10005 USA
(212) 416-8222 (phone)
(212) 416-8816 (fax)
complaints@ag.ny.gov

[For Freedom Of Information/Public Records Requests]:
Office Of The New York State Attorney General
New York State - State Capitol Building
Albany, New York 12224 USA
Attn: Records Access Officer
FOIL@ag.ny.gov

NORTH CAROLINA (NC)
https://www.sosnc.gov/divisions/securities
North Carolina Department of the Secretary of State, Office of the Securities Administrator
North Carolina Securities Division
2 South Salisbury Street - Post Office Box 29622
Raleigh, North Carolina 27601 (27626-0622) USA
(919) 814-5400 (phone)
(800) 688-4507 (toll-free phone)
(919) 807-2183 (fax)
secdiv@sosnc.gov
corpinfo@sosnc.gov

NORTH DAKOTA (ND)
http://www.nd.gov/securities/
North Dakota Securities Department, Office of the Commissioner
600 East Boulevard Avenue - State Capitol, 5th Floor
Bismarck, North Dakota 58505-0510 USA
(701) 328-2910 (phone)
1 (800) 297-5124 (toll-free phone)
(701)-328-2946 (fax)
ndsecurities@nd.gov

North Dakota Securities Department, Office of the Commissioner
701 West 6th Street, #312
Grafton, North Dakota 58237 USA
(701) 352-4592 (phone)

OHIO (OH)
https://www.com.ohio.gov/secu/
Ohio Department of Commerce, Division of Securities
77 South High Street, 22nd Floor
Columbus, Ohio 43215 USA
(614) 644-7381 (phone)
(614) 728-1949 (phone)
(614) 644-7381 (phone)
1 (877) 683-7841 (toll-free phone)
(614) 728-2846 (fax)
securitiesgeneral.questions@com.state.oh.us

OKLAHOMA (OK)
http://www.securities.ok.gov/
Oklahoma Securities Commission, Department of Securities
204 North Robinson Avenue, Suite 400
Oklahoma City, Oklahoma 73102-7001 USA
(405) 280-7700 (phone)
(405) 280-7742 (fax)

OREGON (OR)
https://dfr.oregon.gov/Pages/index.aspx
Oregon Division of Financial Regulation
350 Winter Street NE, Room 410 - PO Box 14480
Salem, Oregon 97309 USA
(503) 378-4140 (phone)
1 (866) 814-9710 (toll-free phone, in Oregon)
(503) 947-7862 (fax)
(503) 378-4351 (phone)
dcbs.dfcsmail@oregon.gov

Oregon Division of Financial Regulation
P.O. Box 14480
Salem, Oregon 97309-0405 USA

PENNSYLVANIA (PA)
https://www.dobs.pa.gov/Pages/default.aspx
Pennsylvania Department of Banking and Securities
Office of the Secretary of Banking and Securities
Market Square Plaza - 17 N. Second (2nd) Street, Suite 1300
Harrisburg, Pennsylvania 17101 USA
(717) 787-2665 (phone)
(800) 600-0007 (toll-free phone)
(717) 787-8773 (fax)
dobssecretary@pa.gov

RHODE ISLAND (RI)
http://www.dbr.state.ri.us/divisions/securities/
State of Rhode Island, Department of Business Regulation
1511 Pontiac Avenue
Cranston, Rhode Island 02920 USA
(401) 462-9500 (phone)
(401) 462-9532 (fax)
dbr.dirofficeinq@dbr.ri.gov
dbr.secinquiry@dbr.ri.gov

SOUTH CAROLINA (SC)
http://www.scag.gov/scsecurities
Office of the South Carolina Attorney General, Securities Division
Rembert Dennis Building - 1000 Assembly Street, Room 519
Columbia, South Carolina 29201 USA
(803) 734-3970 (phone)
(803) 253-6283 (fax)
secoutreach@scag.gov

Office of the South Carolina Attorney General, Securities Division
Securities Division
P. O. Box 11549
Columbia, South Carolina 29211-1549 USA
(803) 734-9916 (phone)

SOUTH DAKOTA (SD)
https://dlr.sd.gov/securities/
South Dakota Department of Labor & Regulation
Division of Insurance - Securities Regulation
124 South Euclid Avenue, 2nd Floor
Pierre, South Dakota 57501 USA
(605) 773-3563 (phone)
(605) 773-5953 (fax)

TENNESSEE (TN)
https://www.tn.gov/commerce/securities-division.html
Tennessee Department of Commerce and Insurance, Division of Consumer Affairs
Office of the Commissioner, Tennessee Securities Division
Davy Crockett Tower, 12th Floor
500 James Robertson Parkway
Nashville, Tennessee 37243 USA
(615) 741-2947 (phone)
(800) 863-9117 (toll-free phone)
(615) 532-4994 (fax)
securities.1@tn.gov
ask.tdci@tn.gov
consumer.affairs@tn.gov

TEXAS (TX)
https://www.ssb.texas.gov/
Texas State Securities Board
Thomas Jefferson Rusk State Office Building
208 East 10th Street, 5th Floor
Austin, Texas 78701 USA
(512) 305-8300 (phone)
(512) 305-8301 (phone)
(512) 305-8310 (fax)
relder@ssb.texas.gov

Texas State Securities Board
P.O. Box 13167
Austin, Texas 78711-3167

Texas State Securities Board
606 North Carancahua, Suite 803
Corpus Christi, Texas 78401-0659 USA
(361) 887-1085 (phone)
(361) 884-7820 (fax)

Texas State Securities Board
8700 North Stemmons Freeway, Suite 144
Dallas, Texas 75247-3714 USA
(214) 630-8681 (phone)
(214) 630-8699 (fax)

Texas State Securities Board
1919 North Loop West, Suite 300
Houston, Texas 77008 USA
(713) 426-0336 (phone)
(713) 426-6965 (fax)

Texas State Securities Board
4630 50th Street, Suite 614
Lubbock, Texas 79414 USA
(806) 762-8010 (phone)
(806) 762-6648 (fax)

UTAH (UT)
https://securities.utah.gov/
Utah Department of Commerce, Utah Division of Securities
160 East 300 South, 2nd Floor
Salt Lake City, Utah 84111 USA
(801) 530-6600 (phone)
1 (800) 721-7233 (toll-free phone)
(801) 530-6980 (fax)
securities@utah.gov

Utah Division of Securities
PO Box 146760
Salt Lake City, Utah 84114-6760 USA

VERMONT (VT)
http://www.dfr.vermont.gov/securities/securities-division
State of Vermont Department of Financial Regulation, Securities Division
89 Main Street
Montpelier, Vermont 05620-3101 USA
(802) 828-3420 (phone)
(802) 828-3301 (phone)
(802) 828-3420 (phone)
(802) 828-2896 (fax)
dfr.securitiesinfo@vermont.gov

VIRGINIA (VA)
http://www.scc.virginia.gov/srf/index.aspx
Commonwealth of Virginia, State Corporation Commission
Virginia Division of Securities & Retail Franchising – Office of the Commissioner
Tyler Building, 9th Floor
1300 East Main Street - P.O. Box 1197
Richmond, Virginia 23219 (23218) USA
(804) 371-9784 (phone)
(804) 371-9911 (fax)
srf_general@scc.virginia.gov
sccinfo@scc.virginia.gov

WASHINGTON (WA)
https://dfi.wa.gov/securities
State of Washington Department of Financial Institutions, Division of Securities
PO Box 9033
Olympia, Washington 98507-9033 USA
(360) 902-8760 (phone)
(877) RING DFI (746-4334) (toll-free phone)
(360) 902-0524 (fax)
(360) 586-5068 (fax)
dfi@dfi.wa.gov
investorcomplaints@dfi.wa.gov

State of Washington Department of Financial Institutions, Division of Securities
P.O. Box 41200
Olympia, Washington 98504-1200 USA
(360) 902-8700 (phone)

State of Washington Department of Financial Institutions, Division of Securities
150 Israel Road SW
Tumwater, Washington 98501 USA

WEST VIRGINIA (WV)
Office of the West Virginia State Auditor, Securities Commission Division
1900 Kanawha Boulevard East, State Capitol Complex
Building 1, Room W-100
Charleston, West Virginia 25305 USA
(304) 558-2251 (phone)
(304) 558-4211 (fax)
securities@wvsao.gov

WISCONSIN (WI)
https://www.wdfi.org/fi/securities/
Wisconsin Department of Financial Institutions, Division of Securities
PO Box 1768
Madison, Wisconsin 53701-1768 USA
(608) 266-2139 (phone)
(608) 264-7979 (fax)
dfisecurities@wisconsin.gov
dfisecretary@wisconsin.gov

Wisconsin Department of Financial Institutions
4822 Madison Yards Way, North Tower
Madison, Wisconsin 53705 USA

WYOMING (WY)
http://soswy.state.wy.us/contactus.aspx
Wyoming Secretary of State, Compliance Division
2020 Carey Avenue, Suite 700
Cheyenne, Wyoming 82002-0020 USA
(307) 777-7370 (phone)
(307) 777-7640 (fax)
investing@wyo.gov
compliance@wyo.gov

TERRITORIES AND POSSESSIONS

PUERTO RICO
www.ocif.gobierno.pr
Office of the Commissioner of Financial Institutions of Puerto Rico
Edif. Centro Europa – Suite 600
1492 Avenue Ponce de Leon
San Juan, Puerto Rico 00907 USA
(787) 723-3131 (phone) (extensions 2305, 2306, or 2308)
(787) 723-4042 (fax)
(787) 723-4225 (fax)
valores@ocif.gobierno.pr

Office of the Commissioner of Financial Institutions of Puerto Rico
PO Box 11855
San Juan, Puerto Rico 00910-3855 USA

GUAM
The Guam Department of Revenue and Taxation, Regulatory Division
Office of the Regulatory Examiner Supervisor
Insurance, Securities & Banking & Real Estate
1240 Army Drive
Barrigada, Guam 96913

The Guam Department of Revenue and Taxation, Taxpayer Services Division
Office of the Regulatory Examiner Supervisor
Insurance, Securities & Banking & Real Estate
P.O. Box 23607
Barrigada, Guam 96921
(671) 635-1844 (phone)
(671) 635-1845 (phone)
(671) 635-7664 (phone)
(671) 635-1829 (phone)
(671) 635-1790 (phone)

U.S. VIRGIN ISLANDS (VI)
http://ltg.gov.vi/division-of-banking-and-insurance.html
U.S. Virgin Islands Division of Banking, Insurance, and Financial Regulation
No. 5049 Kongens Gade - Charlotte Amalie
St. Thomas, Virgin Islands 00802 (340) 774-7166 (phone)
(340) 774-9458 (fax)

U.S. Virgin Islands Division of Banking, Insurance, and Financial Regulation
1131 King Street, Suite 101 - Christiansted
St. Croix, Virgin Islands 00820
(340) 773-6459 (phone)
(340) 719-3801 (fax)

American Samoa
Northern Mariana Islands
U.S. Virgin Islands
Minor Outlying Islands
Bajo Nuevo Bank
Baker Island
Howland Island
Jarvis Island
Johnston Atoll
Kingman Reef
Midway Islands
Navassa Island
Palmyra Atoll
Serranilla Bank
Wake Island
Palmyra Atoll

For Canada and Mexico, see:
http://www.nasaa.org/about-us/contact-us/contact-your-regulator/

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