Alabama |
Alabama Securities Commission |
Alaska |
Alaska Department of Commerce, Community, and Economic Development |
Arizona |
Arizona Corporation Commission, Securities Division |
Arkansas |
Arkansas Securities Department |
California |
California Department of Corporations |
Colorado |
Colorado Division of Securities |
Connecticut |
Connecticut Department of Banking |
Delaware |
Delaware Department of Justice |
District of Columbia |
Department of Insurance, Securities & Banking |
Florida |
Florida Office of Financial Regulation |
Georgia |
Georgia Secretary of State, Division of Business Services |
Hawaii |
Hawaii Department of Commerce & Consumer Affairs, Securities Division |
Idaho |
Idaho Department of Finance |
Illinois |
Illinois Office of the Secretary of State, Securities Department |
Indiana |
Indiana Secretary of State, Securities Division |
Iowa |
Iowa Insurance Division, Securities Bureau |
Kansas |
Kansas Office of the Securities Commissioner |
Kentucky |
Kentucky Department of Financial Institutions |
Louisiana |
Louisiana Office of Financial Institutions |
Maine |
Department of Professional & Financial Regulation, Office of Securities |
Maryland |
Maryland Office of the Attorney General, Division of Securities |
Massachusetts |
Massachusetts Securities Division |
Michigan |
Michigan Office of Financial & Insurance Regulation |
Minnesota |
Minnesota Department of Commerce |
Mississippi |
Mississippi Office of the Secretary of State, Securities & Charities Division |
Missouri |
Missouri Office of the Secretary of State, Securities Division |
Montana |
Montana Commissioner of Securities & Insurance |
Nebraska |
Nebraska Department of Banking & Finance |
Nevada |
Nevada Secretary of State, Securities Division |
New Hampshire |
New Hampshire Bureau of Securities Regulation |
New Jersey |
New Jersey Department of Law & Public Safety, Bureau of Securities |
New Mexico |
New Mexico Regulation & Licensing Department, Securities Division |
New York |
New York Office of the Attorney General, Investor Protection Bureau |
North Carolina |
North Carolina Department of the Secretary of State, Securities Division |
North Dakota |
North Dakota Securities Department |
Ohio |
Ohio Department of Commerce, Division of Securities |
Oklahoma |
Oklahoma Securities Commission |
Oregon |
Oregon Department of Consumer & Business Services, Division of Finance & Corporate Securities |
Pennsylvania |
Pennsylvania Securities Commission |
Rhode Island |
Rhode Island Department of Business Regulation |
South Carolina |
South Carolina Attorney General |
South Dakota* |
South Dakota Department of Labor & Regulation, Division of Securities *Per the South Dakota Department of Labor & Regulation, any securities advisor who resides in the state and receives compensation for advising others must be registered. |
Tennessee |
Tennessee Department of Commerce & Insurance, Securities Division |
Texas |
Texas State Securities Board |
Utah |
Utah Department of Commerce, Division of Securities |
Vermont |
Vermont Department of Banking, Insurance, Securities & Health Care Administration |
Virginia |
Virginia State Corporation Commission, Division of Securities & Retail Franchising |
Washington |
Washington Department of Financial Institutions, Securities Division |
West Virginia |
West Virginia Office of the State Auditor, Securities Division |
Wisconsin |
Wisconsin Department of Financial Institutions, Division of Securities |
Wyoming |
Wyoming Secretary of State, Securities Division |