Contact Your Regulator

NASAA Member Representative List

(Click the jurisdiction’s name to visit the website of each NASAA member.)

United States

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

Kevin Anselm
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 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
Acting 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
700 North Street, PO Box 136
Jackson, MS 39202

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 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

Amy Kopleton
Deputy 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) 416-8136 (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

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)


Canada
Alberta
Securities Commission
Suite 600, 250 – 5th Street S.W.
Calgary, AB T2P 0R4
Canada

Glenda Campbell
Vice-Chair
(403) 297-6454
(403) 297-6156 (Fax)

British Columbia
Securities Commission
P.O. Box 10142, Pacific Centre
701 West Georgia Street
Vancouver, BC V7Y 1L2
Canada

Brenda Leong
Chair
(604) 899-6500
(604) 899-6506 (Fax)

Manitoba
Securities Commission
500-400 St. Mary Avenue
Winnipeg, MB R3C 4K5
Canada

Douglas R. Brown
Director, Legal, Enforcement & Registrations
(204) 945-2548
(204) 945-0330 (Fax)

New Brunswick
Financial and Consumer Services Commission
85 Charlotte Street, Suite 300
Saint John, NB E2L 2J2
Canada

Rick Hancox
Executive Director
(506) 658-3060
(506) 658-3059 (Fax)

Newfoundland & Labrador
Financial Services Regulation Division
PO Box 8700
St. John’s, NL  A1B 4J6
Canada

Douglas Connolly, CGA
Superintendent of Securities
(709)-729-4189
(709)-729-6187 (Fax)

Northwest Territories
Office of Superintendent of Securities
Department of Justice
1st Floor Stuart M. Hodgson Building
5009 – 49th Street

PO Box 1320
Yellowknife, NT X1A 2L9
Canada

Gary MacDougall,
Superintendent of Securities
(867) 873-7490
(867) 873-0243 (Fax)

Nova Scotia
Securities Commission
5251 Duke Street
Suite 400, Duke Tower

PO Box 458
Halifax, NS B3J 2P8
Canada

Sarah P. Bradley
Chair
(902) 424-7768
(902) 424-4625 (Fax)

Nunavut
Department of Justice
Legal Registries Division
P.O. Box 1000 – Station 570
1st Floor, Brown Building
Iqaluit, NU X0A 0H0
Canada

Louis Arki
Superintendent of Securities
(867) 975-6590
(867) 975-6594 (Fax)

Ontario
Securities Commission
20 Queen Street West, Suite 1900
Box 55
Toronto, ON M5H 3S8
Canada

Kathryn Daniels
Deputy Director of Enforcement
(416) 593-8314
(416) 593-8122 (Fax)

Prince Edward Island
Department of Environment, Labour and Justice
95 Rochford Street
4th Floor, Shaw Building
Charlottetown, PE C1A 7N8
Canada

Katharine Tummon
Superintendent of Securities
(902) 368-4550
(902) 368-5283 (Fax)

Québec
Autorité des Marchés Financiers
800 Square Victoria, 22nd Floor
C.P. 246, tour de la Bourse
Montreal, PQ H4Z 1G3
Canada

Jean Lorrain
Director, International Affairs
Regulation Directorate
(514) 395-0337
(514) 873-3090 (Fax)

Saskatchewan
Financial and Consumer Affairs Authority
601 – 1919 Saskatchewan Drive
Regina, SK S4P 4H2
Canada

Dean Murrison
Director
(306) 787-5879
(306) 787-5899 (Fax)

Yukon
Department of Community Services
Corporate Affairs C-6
P.O. Box 2703
Whitehorse, YT Y1A 2C6
Canada

Frederik Pretorius
Superintendent of Securities
(867) 667-5314
(867) 393-6251 (Fax)


Mexico
Comisión Nacional Bancaria y de Valores
Av. Insurgentes Sur 1971, Torre Sur
Piso 11
Plaza Inn, Col. Guadalupe Inn, C.P. 01020
Mexico

Jose Loyola
Director General of International Affairs
011 52 55 1454-6020