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Alabama
Securities Commission
770 Washington Avenue
Suite 570
Montgomery, AL 36130-4700
Joseph P. Borg, Esq.
Director
(334) 242-2984
(800) 222-1253
(334) 242-0240 (Fax)
Alaska
Dept. of Community and
Economic Development
Div. of Banking, Securities
& Corporations
150 Third Street, Room 217
P.O. Box 110807
Juneau, AK 99811-0807
Mark R. Davis
Director
(907) 465-2521
(907) 465-1230 (Fax)
Arizona
Corporation Commission
Securities Division
1300 West Washington Street
Third Floor
Phoenix, AZ 85007
Matthew J. Neubert
Director
(602) 542-4242
(602) 594-7470 (Fax)
Arkansas
Securities Department
Heritage West Building
201 East Markham, Room 300
Little Rock, AR 72201-1692
Michael Johnson
Securities Commissioner
(501) 324-9260
(501) 324-9268 (Fax)
California
Department of Corporations
1515 K Street
Suite 200
Sacramento, CA 95814
Preston DuFauchard
Commissioner
(916) 445-7205
(916) 445-7975 (Fax)
Colorado
Division of Securities
1560 Broadway Street
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
Ralph A. Lambiase
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
James B. Ropp
Securities Commissioner
(302) 577-8424
(302) 577-6987 (Fax)
District of Columbia
Department of Insurance
& Securities Regulation
Securities Bureau
810 First Street, NE
Suite 622
Washington, DC 20002
Theodore A. Miles
Director, Securities Bureau
(202) 727-8000
(202) 535-1199 (Fax)
Florida
Financial Services Commission
Office of Financial Regulation
200 East Gaines Street
The Fletcher Building
Tallahassee, FL 32399-0372
Don Saxon
Commissioner
(850) 410-9805
(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
Kevin G. Moore
Acting Director, Division of Securities
(404) 656-3920
(404) 651-6451 (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
700 West State Street
2nd Floor
Boise, ID 83702
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
(800) 628-7937
Indiana
Office of the Secretary of State
Securities Division
302 West Washington
Room E-111
Indianapolis, IN 46204
Wayne Davis
Securities Commissioner
(317) 232-6681
(317) 233-3675 (Fax)
Iowa
Insurance Division
Securities Bureau
340 E. Maple Street
Des Moines, IA 50319-0066
Craig A. Goettsch
Superintendent of Securities
(515) 281-4441
(515) 281-3059 (Fax)
Kansas
Office of the Securities Commissioner
618 South Kansas Avenue
Topeka, KS 66603-3804
Chris Biggs
Commissioner
(785) 296-3307
(785) 296-6872 (Fax)
Kentucky
Department of Financial Institutions
1025 Capital Center Drive
Suite 200
Frankfort, KY 40601
Colleen Keefe
Director of Securities
(502) 573-3390
(800) 223-2579
(502) 573-8787 (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
(225) 925-4548 (Fax)
Maine
Securities Division
State House Station 121
Augusta, ME 04333
Michael J. Colleran
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
Conduct Review & Securities Division
Office of Financial & Ins. Services
Dept. of Labor & Economic Growth
611 West Ottawa St, Third Floor
Lansing, MI 48933
Linda A. Watters
Commissioner
Office of Financial & Insurance Services
(877)999-6442
(517)241-3953 (Fax)
Minnesota
Department of Commerce
85 East 7th Place
Suite 500
Saint Paul, MN 55101
Scott P. Borchert
Director, Enforcement Division
(651) 296-4026
(651) 296-4328 (Fax)
Mississippi
Office of the Secretary of State
Business Regulation
& Enforcement Division
700 North Street
Jackson, MS 39202
James O. Nelson, II
Assistant Secretary of State
Business Regulation & Securities Division
(601) 359-6371
(601) 359-2663 (Fax)
Missouri
Office of the Secretary of State
600 West Main Street
Jefferson City, MO 65101
Matt Kitzi
Acting Securities Commissioner
(573) 751-4136
(573) 526-3124 (Fax)
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Montana
Office of the State Auditor
Securities Department
840 Helena Avenue
Helena, MT 59601
John Morrison
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
5th Floor, Suite 5200
Las Vegas, NV 89101
Charles Moore
Securities Administrator
(702) 486-2440
(702) 486-2452 (Fax)
New Hampshire
Bureau of Securities Regulation
State House Annex
Suite 317A 3rd Floor
Concord, NH 03301
Mark Connolly
Deputy Secretary of State
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
Franklin L. Widmann
Chief
(973) 504-3600
(973) 504-3601 (Fax)
New Mexico
Regulation & Licensing Department
Securities Division
2550 Cerrillos Road
Santa Fe, NM 87505
Bruce R. Kohl
Director of Securities
(505) 476-4580
(505) 984-0617 (Fax)
New York
Office of the Attorney General
Investor Protection & Securities Bureau
120 Broadway
23rd Floor
New York, NY 10271
Gary Connor
First Deputy Bureau Chief
(212) 416-8200
(212) 416-8816 (Fax)
North Carolina
Secretary of State
Securities Division
Old Revenue Complex
2 S. Salisbury Street
Raleigh, NC 27601
David S. Massey
Deputy Securities Administrator
(919) 733-3924
(919) 821-0818 (Fax)
North Dakota
Securities Commission
600 East Boulevard
State Capitol, 5th Floor
Bismarck, ND 58505-0510
Karen Tyler
Commissioner
(701) 328-2910
(701) 255-3113 (Fax)
Ohio
Division of Securities
77 South High Street
22nd Floor
Columbus, OH 43215
James Turner
Acting Commissioner
(614) 644-7381
(614) 466-3316 (Fax)
Oklahoma
Department of Securities
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
Floyd Lanter
Division Administrator
(503) 378-4387
(503) 947-7862 (Fax)
Pennsylvania
Securities Commission
Eastgate Office Building
1010 North 7th Street, 2nd Floor
Harrisburg, PA 17102-1410
Robert M. Lam
Commissioner
(717) 787-8061
(717) 783-5122 (Fax)
Puerto Rico
Commission of Financial Institutions
1492 Ponce de Leon Avenue
Suite 600
San Juan, PR 00907
Asdrubal Aponte
Director of Enforcement
(787) 723-3131 ext. 2222
Rhode Island
Department of Business Regulation
233 Richmond Street
Suite 232
Providence, RI 02903-4232
Maria D'Alessandro
Associate Director
& Superintendent of Securities
(401) 222-3048
(401) 222-5629 (Fax)
South Carolina
Office of the Attorney General
Securities Division
Rembert C. Dennis Office Building
1000 Assembly Street
Columbia, SC 29201
T. Stephen Lynch
Deputy Securities Commissioner
(803) 734-4731
(803) 734-0032 (Fax)
South Dakota
Division of Securities
445 E Capitol Avenue
Pierre, SD 57501-2000
Gail Sheppick
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
Austin, TX 78701
Denise Voigt Crawford
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
Director
(340) 774-7166
Utah
Department of Commerce
Division of Securities
160 East 300 South
2nd Floor
Salt Lake City, UT 84111
Jason Perry
Deputy Director
(801) 530-6600
(801) 530-6980 (Fax)
Vermont
Department of Banking, Insurance,
Securities & Health Care
Administration
89 Main Street
Drawer 20
Montpelier, VT 05620-3101
Anna Drummond
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
Richmond, VA 23219
Ronald W. Thomas
Director
(804) 371-9051
(804) 371-9911 (Fax)
Washington
Department of Financial Institutions
Securities Division
150 Israel Rd, SW
Tumwater, WA 98501
Michael E. Stevenson
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
Chester F. Thompson
Deputy Commissioner of Securities
(304) 558-2257
(877) 982-9148
(304) 558-4211 (Fax)
Wisconsin
Department of Financial Institutions
Division of Securities
345 W. Washington Avenue
4th Floor
Madison, WI 53703
Patricia D. Struck
Administrator
(608) 266-1064
(608) 264-7979 (Fax)
Wyoming
Secretary of State
Securities Division
State Capitol, Room 109
200 W. 24th Street
Cheyenne, WY 82002-0020
Thomas Cowan
Division Director
(307) 777-7370
(307) 777-5339 (Fax)
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