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 |
Montana Commissioner of Securities & Insurance Montana State Auditor’s Office Securities Department 840 Helena Avenue Helena, MT 59601 |
| Joseph P. Borg Director (334) 242-2984 (800) 222-1253 (334) 242-0240 (Fax) |
Lynne Egan Deputy Securities Commissioner (406) 444-2040 (406) 444-5558 (Fax) |
| Alaska Dept. of Commerce, Community and Economic Development Division of Banking and Securities P.O. Box 110807 Juneau, AK 99811-0807 |
Nebraska Nebraska Department of Banking & Finance Bureau of Securities 1526 K Street, Suite 300 Lincoln, NE 68508 |
| Kevin Anselm Director (907) 465-2521 (907) 465-2549 (Fax) |
Jack E. Herstein Assistant Director (402) 471-3445 |
| Arizona Corporation Commission Securities Division 1300 West Washington Street Third Floor Phoenix, AZ 85007 |
Nevada Secretary of State Securities Division 555 East Washington Avenue Suite 5200 Las Vegas, NV 89101 |
| Matthew J. Neubert Director (602) 542-4242 (602) 388-1335 (Fax) |
Diana Foley Securities Administrator (702) 486-2440 (702) 486-2452 (Fax) |
| Arkansas Securities Department Heritage West Building 201 East Markham, Room 300 Little Rock, AR 72201-1692 |
New Hampshire Bureau of Securities Regulation Department of State 107 North Main Street, # 204 Concord, NH 03301-4989 |
| Edmond Waters Securities Commissioner (501) 324-9260 (501) 324-9268 (Fax) |
Barry Glennon Director of Securities Regulation (603) 271-1463 (603) 271-7933 (Fax) |
| California Department of Business Oversight 1515 K Street Suite 200 Sacramento, CA 95814-4052 |
New Jersey Department of Law & Public Safety Bureau of Securities 153 Halsey Street 6th Floor Newark, NJ 07102 |
| Jan Lynn Owen Commissioner of the Department of Business Oversight (866) 275-2677 (916) 322-1559 (Fax) |
Laura Posner Bureau Chief (973) 504-3600 (973) 504-3601 (Fax) |
| Colorado Division of Securities 1560 Broadway Suite 900 Denver, CO 80202 |
New Mexico Regulation & Licensing Department Securities Division 2550 Cerrillos Road Santa Fe, NM 87505 |
| Gerald Rome Securities Commissioner (303) 894-2320 (303) 861-2126 (Fax) |
Alexis Lotero Director of Securities (505) 476-4580 (505) 984-0617 (Fax) |
| Connecticut Department of Banking 260 Constitution Plaza Hartford, CT 06103-1800 |
New York Office of the Attorney General Investor Protection Bureau 120 Broadway 23rd Floor New York, NY 10271 |
| Eric Wilder Director of Securities (860) 240-8230 (860) 240-8295 (Fax) |
Chad Johnson Bureau Chief (212) 416-8222 (212) 416-8816 (Fax) |
| Delaware Delaware Department of Justice Investor Protection Unit Carvel State Office Building 820 North French Street, 5th Fl. Wilmington, DE 19801 |
North Carolina Department of the Secretary of State Securities Division 2 South Salisbury Street Raleigh, NC 27601 |
| Gregory Strong Investor Protection Director (302) 577-8424 (302) 577-6987 (Fax) |
Kevin Harrington Deputy Securities Administrator (919) 733-3924 (919) 807-2183 (Fax) |
| District of Columbia Department of Insurance, Securities and Banking Securities Bureau 810 First Street, NE Suite 701 Washington, DC 20002 |
North Dakota Securities Commission 600 East Boulevard State Capitol, 5th Floor Bismarck, ND 58505-0510 |
| Theodore A. Miles Associate Commissioner, Securities (202) 442-7800 (202) 354-1092 (Fax) |
Karen Tyler Commissioner (701) 328-2910 (701) 328-2946 (Fax) |
| Florida Office of Financial Regulation 200 East Gaines Street Tallahassee, FL 32399-0372 |
Ohio Division of Securities 77 South High Street 22nd Floor Columbus, OH 43215-6131 |
| Pam Epting Director, Division of Securities (850) 410-9500 (850) 410-9748 (Fax) |
Andrea Seidt Commissioner (614) 644-7381 (614) 466-3316 (Fax) |
| Georgia Office of the Secretary of State Division of Securities Two Martin Luther King, Jr. Drive SE 802 West Tower, Suite 313 Atlanta, GA 30334 |
Oklahoma Securities Commissioner Oklahoma Department of Securities 204 N Robinson, Ste. 400 Oklahoma City OK 73102-7001 |
| Noula Zaharis Securities Division Director (404) 654-6023 |
Irving Faught Administrator (405) 280-7700 (405) 280-7742 (Fax) |
| Hawaii Department of Commerce & Consumer Affairs Division of Business Regulation 335 Merchant Street Room 203 Honolulu, HI 96813 |
Oregon Department of Consumer & Business Services Div. of Finance & Corp. Securities 350 Winter Street, NE Room 410 Salem, OR 97301-3881 |
| Ty Nohara Commissioner of Securities (808) 586-2744 (808) 586-2733 (Fax) |
David Tatman Division Administrator (503) 378-4140 (503) 947-7862 (Fax) |
| Idaho Department of Finance 800 Park Boulevard Suite 200 Boise, ID 83712 |
Pennsylvania Pennsylvania Department of Banking and Securities 17 North 2nd Street, Suite 1300 Harrisburg, PA 17101-2290 |
| Jim Burns Securities Bureau Chief (208) 332-8004 (208) 332-8099 (Fax) |
Victoria A. Reider Executive Deputy Secretary (717) 787-2665 (717) 783-5125 (Fax) |
| Illinois Office of the Secretary of State Securities Department 69 West Washington Street Suite 1220 Chicago, IL 60602 |
Puerto Rico Commissioner of Financial Institutions PO Box 11855 San Juan, PR 00910-3855 |
| Tanya Solov Director of Securities (312) 793-3384 (312) 793-1202 (Fax) |
Damaris Mendoza-Roman Securities Administrator (787) 723-3131 (787) 723-4225 (Fax) |
| Indiana Office of the Secretary of State Securities Division 302 West Washington Room E-111 Indianapolis, IN 46204 |
Rhode Island Department of Business Regulation 1511 Pontiac Avenue John O. Pastore Complex Bldg. 69-1 Cranston, RI 02920-4407 |
| Alex Glass Securities Commissioner (317) 232-6681 (317) 233-3675 (Fax) |
Maria D’Alessandro Associate Director & Superintendent of Securities (401) 462-9527 (401) 462-9645 (Fax) |
| Iowa Insurance Division Securities Bureau 601 Locust – 4th floor Des Moines, IA 50309 |
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 |
| Rosanne Mead Securities Administrator (515) 281-5705 (515) 281-3059 (Fax) |
T. Stephen Lynch Deputy Securities Commissioner (803) 734-9916 (803) 734-3677 (Fax) |
| Kansas Office of the Securities Commissioner 109 SW 9th Street Suite 600 Topeka, KS 66612 |
South Dakota Division of Securities 124 South Euclid Avenue Suite 104 Pierre, SD 57501-3185 |
| Joshua Ney Securities Commissioner (785) 296-3307 (785) 296-6872 (Fax) |
Michael Youngberg Director (605) 773-4823 (605) 773-5953 (Fax) |
| Kentucky Department of Financial Institutions 1025 Capital Center Drive Suite 200 Frankfort, KY 40601 |
Tennessee Department of Commerce & Insurance Securities Division Davy Crockett Tower, Suite 680 500 James Robertson Parkway Nashville, TN 37243-0575 |
| Shonita Bossier Director, Div. of Securities (502) 573-3390 (800) 223-2579 (502) 573-2182 (Fax) |
Frank Borger-Gilligan Assistant Commissioner for Securities (615) 741-2947 (615) 532-8375 (Fax) |
| Louisiana Securities Commission Office of Financial Institutions 8660 United Plaza Blvd. Second Floor Baton Rouge, LA 70809-7024 |
Texas State Securities Board 208 East 10th Street 5th Floor, PO Box 13167 Austin, TX 78701 |
| Rhonda Reeves Deputy Securities Commissioner (225) 925-4512 |
John Morgan Securities Commissioner (512) 305-8300 (512) 305-8310 (Fax) |
| Maine Dept. of Professional & Financial Regulation Office of Securities 121 State House Station Augusta, ME 04333-0121 |
U.S. Virgin Islands Division of Banking and Insurance 18 Kongens Gade Saint Thomas, VI 00802 |
| Judith M. Shaw Securities Administrator (207) 624-8551 (207) 624-8590 (Fax) |
Deverita Sturdivant Chief of Securities Regulation (340) 774-7166 |
| Maryland Office of the Attorney General Division of Securities 200 Saint Paul Place Baltimore, MD 21202-2020 |
Utah Department of Commerce Division of Securities 160 East 300 South 2nd FloorPO Box 146760 Salt Lake City, UT 84114-6760 |
| Melanie Senter Lubin Securities Commissioner (410) 576-6360 (410) 576-6532 (Fax) |
Keith Woodwell Director (801) 530-6600 (801) 530-6980 (Fax) |
| Massachusetts Securities Division One Ashburton Place Room 1701 Boston, MA 02108 |
Vermont Department of Financial Regulation 89 Main Street, 3rd Floor Montpelier, VT 05620-3101 |
| Bryan Lantagne Director (617) 727-3548 (617) 248-0177 (Fax) |
Michael Pieciak Deputy Commissioner of Securities (802) 828-3420 (802) 828-2896 (Fax) |
| Michigan Department of Licensing and Regulatory Affairs Corporations, Securities and Commercial Licensing Bureau 2501 Woodlake Circle, Okemos, MI 48864 PO Box 30018 Lansing, MI 48909 |
Virginia State Corporation Commission Division of Securities & Retail Franchising 1300 East Main Street 9th FloorPO Box 1197 Richmond, VA 23218 |
| Julia Dale Acting Bureau Director 517-373-1820 |
Ronald W. Thomas Director (804) 371-9051 (804) 371-9911 (Fax) |
| Minnesota Department of Commerce 85 East 7th Place Suite 500 Saint Paul, MN 55101 |
Washington Department of Financial Institutions Securities Division 150 Israel Rd, SWPO Box 9033 Tumwater, WA 98507-9033 |
| Mike Rothman Commissioner (651)539-1638 (651) 296-4328 (Fax) |
William Beatty Director of Securities (360) 902-8760 (360) 902-0524 (Fax) |
| Mississippi Office of the Secretary of State Securities Division 125 S. Congress Street, PO Box 136 Jackson, MS 39201 |
West Virginia Office of the State Auditor Securities Division Building 1 Room W-100 Charleston, WV 25305-0230 |
| Cheryn Netz Asst. Secretary of State (601) 359-1334 (601) 359-9070 (Fax) |
Lisa Hopkins Senior Deputy Commissioner of Securities (304) 558-2257 (304) 558-4211 (Fax) |
| Missouri Office of the Secretary of State Securities Division 600 West Main Street Jefferson City, MO 65101 |
Wisconsin Department of Financial Institutions Division of Securities 201 W. Washington Avenue Suite 300PO Box 1768 Madison, WI 53701-1768 |
| Andrew Hartnett Securities Commissioner (573) 751-4136 (573) 526-3124 (Fax) |
Patricia D. Struck Administrator (608) 266-1064 (608) 264-7979 (Fax) |
| Wyoming Secretary of State Compliance Division 2020 Carey Avenue, Suite 700 Cheyenne, WY 82002. |
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| Kelly Janes Division Director (307) 777-7370 (307) 777-7640 (Fax) |
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| Canada Alberta Securities Commission Suite 600, 250 – 5th Street S.W. Calgary, AB T2P 0R4 Canada |
Nunavut Department of Justice Legal Registries Division P.O. Box 1000 – Station 570 1st Floor, Brown Building Iqaluit, NU X0A 0H0 Canada |
| David Linder Executive Director (403) 297-4233 (403) 297-6156 (Fax) |
Jeff Mason Director (867) 975-6598 (867) 975-6594 (Fax) |
| British Columbia Securities Commission P.O. Box 10142, Pacific Centre 701 West Georgia Street Vancouver, BC V7Y 1L2 Canada |
Ontario Securities Commission 20 Queen Street West, Suite 1900 Box 55 Toronto, ON M5H 3S8 Canada |
| Brenda Leong Chair (604) 899-6500 (604) 899-6506 (Fax) |
Kathryn Daniels Deputy Director of Corporate Finance (416) 593-8314 (416) 593-8122 (Fax) |
| Manitoba Securities Commission 500-400 St. Mary Avenue Winnipeg, MB R3C 4K5 Canada |
Prince Edward Island Department of Environment, Labour and Justice 95 Rochford Street 4th Floor, Shaw Building Charlottetown, PE C1A 7N8 Canada |
| Donald G. Murray Chair (204) 945-2548 (204) 945-0330 (Fax) |
Steven Dowling Superintendent of Securities (902) 368-4550 (902) 368-5283 (Fax) |
| New Brunswick Financial and Consumer Services Commission 85 Charlotte Street, Suite 300 Saint John, NB E2L 2J2 Canada |
Québec Autorité des Marchés Financiers 800 Square Victoria, 22nd Floor C.P. 246, tour de la Bourse Montreal, PQ H4Z 1G3 Canada |
| Kevin Hoyt Executive Director (506) 643-7691 (506) 658-3059 (Fax) |
Jean Lorrain Director, International Affairs Regulation Directorate (514) 395-0337 (514) 873-3090 (Fax) |
| Newfoundland & Labrador Financial Services Regulation Division PO Box 8700 St. John’s, NL A1B 4J6 Canada |
Saskatchewan Financial and Consumer Affairs Authority 601 – 1919 Saskatchewan Drive Regina, SK S4P 4H2 Canada |
| Don Boyles Deputy Superintendent of Securities (709)-729-4189 (709)-729-6187 (Fax) |
Dean Murrison Director (306) 787-5879 (306) 787-5899 (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 |
Yukon Department of Community Services Corporate Affairs C-6 P.O. Box 2703 Whitehorse, YT Y1A 2C6 Canada |
| Tom Hall Superintendent of Securities (867) 873-7490 (867) 873-0243 (Fax) |
Frederik Pretorius Superintendent of Securities (867) 667-5314 (867) 393-6251 (Fax) |
| Nova Scotia Securities Commission 5251 Duke Street Suite 400, Duke TowerPO Box 458 Halifax, NS B3J 2P8 Canada |
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| Paul E. Radford Acting Chair (902) 424-7768 (902) 424-4625 (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 |
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| Jose Loyola Director General of International Affairs 011 52 55 1454-6020 |
