State Securities Regulators

State Securities Regulators

While the SEC regulates and enforces the federal securities laws, each state has its own securities regulator who enforces what are known as “blue sky” laws. These laws cover many of the same activities the SEC regulates, such as the sale of securities and those who sell them, but are confined to securities sold or persons who sell them within each state.

In addition, state securities regulators oversee investment advisers who manage less than $25 million. These advisers must register with the state securities agency in the state where they have their principal place of business and must file a form called “Form ADV”with the state. Your state securities regulator can also provide you information about a company doing business in the state and can check the Central Registration Depository to tell you whether your broker or brokerage firm has a disciplinary history. Your regulator also can confirm whether a company has been cleared to sell its securities in your state.

If you have an investment problem or question, you can contact your state regulator using the information below.

Securities Regulators by State

Alabama
Securities Commission
401 Adams Avenue
Suite 280
P.O. Box 304700
Montgomery, AL 36130-4700Joseph P. Borg
Director
(334) 242-2984
(800) 222-1253
(334) 242-0240 (Fax)Alaska
Dept. of Commerce, Community and
Economic Development
Division of Banking and Securities
P.O. Box 110807
Juneau, AK 99811-0807Kevin Anselm
Director
(907) 465-2521
(907) 465-2549 (Fax)Arizona
Corporation Commission
Securities Division
1300 West Washington Street
Third Floor
Phoenix, AZ 85007Matthew J. Neubert
Director
(602) 542-4242
(602) 388-1335 (Fax)Arkansas
Securities Department
Heritage West Building
201 East Markham, Room 300
Little Rock, AR 72201-1692

Heath Abshure
Securities Commissioner
(501) 324-9260
(501) 324-9268 (Fax)

California
Department of Business Oversight
1515 K Street
Suite 200
Sacramento, CA 95814-4052

Jan Lynn Owen
Commissioner of the Department of Business Oversight
(866) 275-2677
(916) 322-1559 (Fax)

Colorado
Division of Securities
1560 Broadway
Suite 900
Denver, CO 80202

Gerald Rome
Securities Commissioner
(303) 894-2320
(303) 861-2126 (Fax)

Connecticut
Department of Banking
260 Constitution Plaza
Hartford, CT 06103-1800

Eric Wilder
Director of Securities
(860) 240-8230
(860) 240-8295 (Fax)

Delaware
Delaware Department of Justice
Investor Protection Unit
Carvel State Office Building
820 North French Street, 5th Fl.
Wilmington, DE 19801

Owen Lefkon
Investor Protection Director
(302) 577-8424
(302) 577-6987 (Fax)

District of Columbia
Department of Insurance, Securities and Banking
Securities Bureau
810 First Street, NE
Suite 701 Washington, DC 20002

Theodore A. Miles
Associate Commissioner, Securities
(202) 442-7800
(202) 354-1092 (Fax)

Florida
Office of Financial Regulation
200 East Gaines Street
Tallahassee, FL 32399-0372

Pam Epting
Director, Division of Securities
(850) 410-9500
(850) 410-9748 (Fax)

Georgia
Office of the Secretary of State
Division of Securities
Two Martin Luther King, Jr. Drive SE
802 West Tower
Atlanta, GA 30334

Tom Zagorsky
Securities Division Director
(478) 207-2440

Hawaii
Department of Commerce &
Consumer Affairs
Division of Business Regulation
335 Merchant Street
Room 203
Honolulu, HI 96813

Tung Chan
Commissioner of Securities
(808) 586-2744
(808) 586-2733 (Fax)

Idaho
Department of Finance
800 Park Boulevard
Suite 200
Boise, ID 83712

Marilyn T. Chastain
Securities Bureau Chief
(208) 332-8004
(208) 332-8099 (Fax)

Illinois
Office of the Secretary of State
Securities Department
69 West Washington Street
Suite 1220
Chicago, IL 60602

Tanya Solov
Director of Securities
(312) 793-3384
(312) 793-1202 (Fax)

Indiana
Office of the Secretary of State
Securities Division
302 West Washington
Room E-111
Indianapolis, IN 46204

Carol Mihalik
Securities Commissioner
(317) 232-6681
(317) 233-3675 (Fax)

Iowa
Insurance Division
Securities Bureau
601 Locust – 4th floor
Des Moines, IA 50309

Rosanne Mead
Securities Administrator
(515) 281-5705
(515) 281-3059 (Fax)

Kansas
Office of the Securities Commissioner
109 SW 9th Street
Suite 600
Topeka, KS 66612

Joshua Ney
Securities Commissioner
(785) 296-3307
(785) 296-6872 (Fax)

Kentucky
Department of Financial Institutions
1025 Capital Center Drive
Suite 200
Frankfort, KY 40601

Shonita Bossier
Director, Div. of Securities
(502) 573-3390
(800) 223-2579
(502) 573-2182 (Fax)

Louisiana
Securities Commission
Office of Financial Institutions
8660 United Plaza Blvd.
Second Floor
Baton Rouge, LA 70809-7024

Rhonda Reeves
Deputy Securities Commissioner
(225) 925-4512

Maine
Dept. of Professional & Financial Regulation
Office of Securities
121 State House Station
Augusta, ME 04333-0121

Judith M. Shaw
Securities Administrator
(207) 624-8551
(207) 624-8590 (Fax)

Maryland
Office of the Attorney General
Division of Securities
200 Saint Paul Place
Baltimore, MD 21202-2020

Melanie Senter Lubin
Securities Commissioner
(410) 576-6360
(410) 576-6532 (Fax)

Massachusetts
Securities Division
One Ashburton Place
Room 1701
Boston, MA 02108

Bryan Lantagne
Director
(617) 727-3548
(617) 248-0177 (Fax)

Michigan
Department of Licensing and Regulatory Affairs
Corporation, Securities and Commercial Licensing Bureau
2501 Woodlake Circle, Okemos, MI 48864
PO Box 30018
Lansing, MI 48909

Alan J. Schefke
Bureau Director
(517) 241-9202

Minnesota
Department of Commerce
85 East 7th Place
Suite 500
Saint Paul, MN 55101

Mike Rothman
Commissioner
(651)539-1500
(651) 296-4328 (Fax)

Mississippi
Office of the Secretary of State
Securities Division
125 S. Congress Street, PO Box 136
Jackson, MS 39201

Cheryn Netz
Asst. Secretary of State
(601) 359-1334
(601) 359-9070 (Fax)

Missouri
Office of the Secretary of State
Securities Division
600 West Main Street
Jefferson City, MO 65101

Andrew Hartnett
Securities Commissioner
(573) 751-4136
(573) 526-3124 (Fax)

Montana
Commissioner of Securities & Insurance
Montana State Auditor’s Office
Securities Department
840 Helena Avenue
Helena, MT 59601Lynne Egan
Deputy Securities Commissioner
(406) 444-2040
(406) 444-5558 (Fax)Nebraska
Nebraska Department of Banking & Finance
Commerce Court
1230 “O” Street, Suite 400
PO Box 95006
Lincoln, NE 68509-5006Jack E. Herstein
Assistant Director
(402) 471-3445Nevada
Secretary of State
Securities Division
555 East Washington Avenue
Suite 5200
Las Vegas, NV 89101Diana Foley
Securities Administrator
(702) 486-2440
(702) 486-2452 (Fax)

New Hampshire
Bureau of Securities Regulation
Department of State
107 North Main Street, # 204
Concord, NH 03301-4989

Barry Glennon
Director of Securities Regulation
(603) 271-1463
(603) 271-7933 (Fax)

New Jersey
Department of Law & Public Safety
Bureau of Securities
153 Halsey Street
6th Floor
Newark, NJ 07102

Laura Posner
Bureau Chief
(973) 504-3600
(973) 504-3601 (Fax)

New Mexico
Regulation & Licensing Department
Securities Division
2550 Cerrillos Road
Santa Fe, NM 87505

Alan Wilson
Director of Securities
(505) 476-4580
(505) 984-0617 (Fax)

New York
Office of the Attorney General
Investor Protection Bureau
120 Broadway
23rd Floor
New York, NY 10271

Chad Johnson
Bureau Chief
(212) 416-8222
(212) 416-8816 (Fax)

North Carolina
Department of the Secretary of State
Securities Division
2 South Salisbury Street
Raleigh, NC 27601

David S. Massey
Deputy Securities Administrator
(919) 733-3924
(919) 807-2183 (Fax)

North Dakota
Securities Commission
600 East Boulevard
State Capitol, 5th Floor
Bismarck, ND 58505-0510

Karen Tyler
Commissioner
(701) 328-2910
(701) 328-2946 (Fax)

Ohio
Division of Securities
77 South High Street
22nd Floor
Columbus, OH 43215-6131

Andrea Seidt
Commissioner
(614) 644-7381
(614) 466-3316 (Fax)

Oklahoma
Securities Commissioner
1st National Center, Suite 860
120 N. Robinson
Oklahoma City, OK 73102

Irving Faught
Administrator
(405) 280-7700
(405) 280-7742 (Fax)

Oregon
Department of Consumer
& Business Services
Div. of Finance & Corp. Securities
350 Winter Street, NE
Room 410
Salem, OR 97301-3881

David Tatman
Division Administrator
(503) 378-4140
(503) 947-7862 (Fax)

Pennsylvania
Pennsylvania Department of
Banking and Securities
17 North 2nd Street, Suite 1300
Harrisburg, PA 17101-2290

Victoria A. Reider
Executive Deputy Secretary
(717) 787-2665
(717) 783-5125 (Fax)

Puerto Rico
Commissioner of Financial Institutions
PO Box 11855
San Juan, PR 00910-3855

Damaris Mendoza-Roman
Securities Administrator
(787) 723-3131
(787) 723-4225 (Fax)

Rhode Island
Department of Business Regulation
1511 Pontiac Avenue
John O. Pastore Complex Bldg. 69-1
Cranston, RI 02920-4407

Maria D’Alessandro
Associate Director
& Superintendent of Securities
(401) 462-9527
(401) 462-9645 (Fax)

South Carolina
Office of the Attorney General
Securities Division
Rembert C. Dennis Office Building, Suite 501
1000 Assembly Street

PO Box 11549
Columbia, SC 29211-1549

T. Stephen Lynch
Deputy Securities Commissioner
(803) 734-9916
(803) 734-3677 (Fax)

South Dakota
Division of Securities
445 E Capitol Avenue
Pierre, SD 57501-3185

Michael Youngberg
Director
(605) 773-4823
(605) 773-5953 (Fax)

Tennessee
Department of Commerce & Insurance
Securities Division
Davy Crockett Tower, Suite 680
500 James Robertson Parkway
Nashville, TN 37243-0575

Daphne D. Smith
Assistant Commissioner for Securities
(615) 741-2947
(615) 532-8375 (Fax)

Texas
State Securities Board
208 East 10th Street
5th Floor, PO Box 13167
Austin, TX 78701

John Morgan
Securities Commissioner
(512) 305-8300
(512) 305-8310 (Fax)

U.S. Virgin Islands
Division of Banking and Insurance
18 Kongens Gade
Saint Thomas, VI 00802

Deverita Sturdivant
Chief of Securities Regulation
(340) 774-7166

Utah
Department of Commerce
Division of Securities
160 East 300 South
2nd Floor

PO Box 146760
Salt Lake City, UT 84114-6760

Keith Woodwell
Director
(801) 530-6600
(801) 530-6980 (Fax)

Vermont
Department of Financial Regulation
89 Main Street, 3rd Floor
Montpelier, VT 05620-3101

Michael Pieciak
Deputy Commissioner of Securities
(802) 828-3420
(802) 828-2896 (Fax)

Virginia
State Corporation Commission
Division of Securities & Retail Franchising
1300 East Main Street
9th Floor

PO Box 1197
Richmond, VA 23218

Ronald W. Thomas
Director
(804) 371-9051
(804) 371-9911 (Fax)

Washington
Department of Financial Institutions
Securities Division
150 Israel Rd, SW

PO Box 9033
Tumwater, WA 98507-9033

William Beatty
Director of Securities
(360) 902-8760
(360) 902-0524 (Fax)

West Virginia
Office of the State Auditor
Securities Division
Building 1
Room W-100
Charleston, WV 25305-0230

Lisa Hopkins
Senior Deputy Commissioner of Securities
(304) 558-2257
(304) 558-4211 (Fax)

Wisconsin
Department of Financial Institutions
Division of Securities
201 W. Washington Avenue
Suite 300

PO Box 1768
Madison, WI 53701-1768

Patricia D. Struck
Administrator
(608) 266-1064
(608) 264-7979 (Fax)

Wyoming
Secretary of State
Compliance Division
State Capitol Building
200 W. 24th Street
Cheyenne, WY 82002-0020

Karen Wheeler
Division Director
(307) 777-7370
(307) 777-7640 (Fax)