Alabama Securities Commission 401 Adams Avenue Suite 280 P.O. Box 304700 Montgomery, AL 36130-4700
Joseph P. Borg Director (334) 242-2984 (800) 222-1253 (334) 242-0240 (Fax)
Alaska Dept. of Commerce, Community and Economic Development Div. of Banking, Securities & Corporations 150 Third Street, Suite 217 P.O. Box 110807 Juneau, AK 99811-0807
Lorie Hovanec Director (907) 465-2521 (907) 465-2549 (Fax)
Arizona Corporation Commission Securities Division 1300 West Washington Street Third Floor Phoenix, AZ 85007
Matthew 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 Corporations 1515 K Street Suite 200 Sacramento, CA 95814-4052
Jan Lynn Owen Commissioner (866) 275-2677 (916) 322-1559 (Fax)
Colorado Division of Securities 1560 Broadway Suite 900 Denver, CO 80202
Fred J. Joseph 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 Department of Justice Division of Securities Carvel State Office Building 820 North French Street, 5th Fl. Wilmington, DE 19801
Owen Lefkon Securities Commissioner (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 Business Services and Business Regulation Two Martin Luther King, Jr. Drive SE 802 West Tower Atlanta, GA 30334
Vincent Russo Interim Assistant Securities Commissioner (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
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
Chris Naylor Securities Commissioner (317) 232-6681 (317) 233-3675 (Fax)
Iowa Insurance Division Securities Bureau 330 E. Maple Street Des Moines, IA 50319-0066
Jim Mumford Securities Administrator (515) 281-5705 (515) 281-3059 (Fax)
Kansas Office of the Securities Commissioner 109 SW 9th Street Suite 600 Topeka, KS 66612
Josh Ney Interim 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 Office of Financial & Insurance Regulation 525 West Allegan 1st Floor constitution Hall PO Box 30701 Lansing, MI 48909
Linda Cena Securities Director (877)999-6442 (517)241-6356 (Fax)
Minnesota Department of Commerce 85 East 7th Place Suite 500 Saint Paul, MN 55101
Mike Rothman Commissioner (651) 296-4026 (651) 296-4328 (Fax)
Mississippi Office of the Secretary of State Securities and Charities Division 700 North Street, PO Box 136 Jackson, MS 39202
Cheryn Baker 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)
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Montana Commissioner of Securities & Insurance Montana State Auditor’s Office Securities Department 840 Helena Avenue Helena, MT 59601
Lynne 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 68509-5006
Jack E. Herstein Assistant Director (402) 471-3445
Nevada Secretary of State Securities Division 555 East Washington Avenue Suite 5200 Las Vegas, NV 89101
Diana 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
Abbe Tiger Bureau Chief (973) 504-3600 (973) 504-3601 (Fax)
New Mexico Regulation & Licensing Department Securities Division 2550 Cerrillos Road Santa Fe, NM 87505
Vacant Director (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
Marc Minor Bureau Chief (212) 416-8222 (212) 416-8136 (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
Steven D. Irwin Commissioner (717) 787-2665 (717) 783-5125 (Fax)
Puerto Rico Commissioner of Financial Institutions PO Box 11855 San Juan, PR 00910-3855
Asdrubal Aponte Director of Enforcement (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
John Cronin Securities Director (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)
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