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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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