Compliance Solutions for Investment Advisers

State Regulators

Alabama
Securities Commission

Mailing address:
P.O. Box 304700
Montgomery, AL 36130-4700

(800) 222-1253
(334) 242-2984
(334) 242-0240 (Fax)
Email: asc@asc.alabama.gov

Alaska
Division of Banking and Securities
Department of Commerce, Community, and Economic Development

Mailing address:
P.O. Box 110807
Juneau, AK 99811-0807

(888) 925-2521
(907) 465-2521
(907) 465-2549 (Fax)

Arizona
Securities Division
Corporation Commission

Mailing address:
1300 West Washington Street
Third Floor
Phoenix, AZ 85007

(866) 837-4399
(602) 542-4242
(602) 388-1335 (Fax)
Email: SEC-AOD@azcc.gov

Arkansas

Securities Department

Heritage West Building
201 East Markham, Room 300
Little Rock, AR 72201-1692

(501) 324-9260
(501) 324-9268 (Fax)

California
Department of Corporations

1515 K Street
Suite 200
Sacramento, CA 95814-4052

(866) 275-2677
(916) 322-1559 (Fax)

Colorado
Division of Securities

1560 Broadway
Suite 900
Denver, CO 80202

(303) 894-2320
(303) 861-2126 (Fax)

Connecticut
Department of Banking

260 Constitution Plaza
Hartford, CT 06103-1800

(860) 240-8230
(860) 240-8295 (Fax)

Delaware
Department of Justice
Division of Securities

Carvel State Office Building
820 North French Street, 5th Fl.
Wilmington, DE 19801

(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

(202) 442-7800
(202) 354-1092 (Fax)

Florida
Financial Services Commission
Office of Financial Regulation

200 East Gaines Street
The Fletcher Building
Tallahassee, FL 32399-0372

(850) 410-9500
(850) 410-9748 (Fax)

Georgia
Office of the Secretary of State
Division of Business Services and Regulation

Two Martin Luther King, Jr. Drive SE
802 West Tower
Atlanta, GA 30334

(404) 656-2881
(404) 656-0513 (Fax)

Hawaii
Department of Commerce & Consumer Affairs
Division of Business Regulation

335 Merchant Street
Room 203
Honolulu, HI 96813

(808) 586-2744
(808) 586-2733 (Fax)

Idaho
Department of Finance

800 Park Boulevard
Suite 200
Boise, ID 83712

(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

(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

(317) 232-6681
(317) 233-3675 (Fax)

Iowa
Insurance Division
Securities Bureau

330 E. Maple Street
Des Moines, IA 50319-0066

(515) 281-5705
(515) 281-3059 (Fax)

Kansas
Office of the Securities Commissioner

109 SW 9th Street
Suite 600
Topeka, KS 66612

(785) 296-3307
(785) 296-6872 (Fax)

Kentucky
Department of Financial Institutions

1025 Capital Center Drive
Suite 200
Frankfort, KY 40601

(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

(225) 925-4512

Maine
Dept. of Professional & Financial Regulation
Office of Securities

121 State House Station
Augusta, ME 04333-0121

(207) 624-8551
(207) 624-8590 (Fax)

Maryland
Office of the Attorney General
Division of Securities

200 Saint Paul Place
Baltimore, MD 21202-2020

(410) 576-6360
(410) 576-6532 (Fax)

Massachusetts
Securities Division

One Ashburton Place
Room 1701
Boston, MA 02108

(617) 727-3548
(617) 248-0177 (Fax)

Michigan
Department of Licensing and Regulatory Affairs

525 West Allegan
1st Floor constitution Hall
PO Box 30701
Lansing, MI 48909

(877)999-6442
(517)241-6356 (Fax)

Minnesota
Department of Commerce

85 East 7th Place
Suite 500
Saint Paul, MN 55101

(651) 296-4026
(651) 296-4328 (Fax)

Mississippi
Office of the Secretary of State
Securities and Charities Division

700 North Street
Jackson, MS 39202

(601) 359-9281
(601) 359-2663 (Fax)

Missouri
Office of the Secretary of State
Securities Division

600 West Main Street
Jefferson City, MO 65101

(573) 751-4136
(573) 526-3124 (Fax)

Montana
Commissioner of Securities & Insurance
Montana State Auditor’s Office
Securities Department

840 Helena Avenue
Helena, MT 59601

(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 68509-5006

(402) 471-3445

Nevada
Secretary of State
Securities Division

555 East Washington Avenue
Suite 5200
Las Vegas, NV 89101

(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

(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

(973) 504-3600
(973) 504-3601 (Fax)

New Mexico
Regulation & Licensing Department
Securities Division

2550 Cerrillos Road
Santa Fe, NM 87505

(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

(212) 416-8222
(212) 416-8136 (Fax)

North Carolina
Department of the Secretary of State
Securities Division

2 South Salisbury Street
Raleigh, NC 27601

(919) 733-3924
(919) 807-2183 (Fax)

North Dakota
Securities Commission

600 East Boulevard
State Capitol, 5th Floor
Bismarck, ND 58505-0510

(701) 328-2910
(701) 328-2946 (Fax)

Ohio
Division of Securities

77 South High Street
22nd Floor
Columbus, OH 43215-6131

(614) 644-7381
(614) 466-3316 (Fax)

Oklahoma
Securities Commissioner

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

(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

(503) 378-4140
(503) 947-7862 (Fax)

Pennsylvania
Pennsylvania Department of Banking and Securities

Eastgate Office Building
1010 North 7th Street, 2nd Floor
Harrisburg, PA 17102-1410

(717) 787-8061
(717) 783-5125 (Fax)

Puerto Rico
Commissionor of Financial Institutions

Fernandez Juncos Station PO Box 11855
San Juan, PR 00910-3855

(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

(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

(803) 734-9916
(803) 734-3677 (Fax)

South Dakota
Division of Securities

445 E Capitol Avenue
Pierre, SD 57501-3185

(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

(615) 741-2947
(615) 532-8375 (Fax)

Texas
State Securities Board

208 East 10th Street
5th Floor
Austin, TX 78701

(512) 305-8300
(512) 305-8310 (Fax)

U.S. Virgin Islands
Division of Banking and Insurance

18 Kongens Gade
Saint Thomas, VI 00802

(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

(801) 530-6600
(801) 530-6980 (Fax)

Vermont
Department of Financial Regulation

89 Main Street, 3rd Floor
Montpelier, VT 05620-3101

(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

(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

(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

(304) 558-2257
(304) 558-4211 (Fax)

Wisconsin
Department of Financial Institutions
Division of Securities

345 W. Washington Avenue
4th Floor

PO Box 1768
Madison, WI 53701-1768

(608) 266-1064
(608) 264-7979 (Fax)

Wyoming
Secretary of State
Securities Division

State Capitol Building
200 W. 24th Street
Cheyenne, WY 82002-0020

(307) 777-7370
(307) 777-7640 (Fax)

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