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
Commerce Court
1230 “O” Street, Suite 400
PO Box 95006
Lincoln, NE 68509-5006
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
Heath Abshure
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)
Alan Wilson
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
Owen Lefkon
Investor Protection Director
(302) 577-8424
(302) 577-6987 (Fax)
David S. Massey
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
Atlanta, GA 30334
Oklahoma
Securities Commissioner
1st National Center, Suite 860
120 N. Robinson
Oklahoma City, OK 73102
Tom Zagorsky
Securities Division Director
(478) 207-2440
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
Tung Chan
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
Acting 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
Carol Mihalik
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
445 E Capitol Avenue
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)
 Daphne D. Smith
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
Corporation, 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
Alan J. Schefke
Bureau Director
(517) 241-9202
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
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
Nunavut
Department of Justice
Legal Registries Division
P.O. Box 1000 – Station 570
1st Floor, Brown Building
Iqaluit, NU X0A 0H0
Canada
Stephen Murison
Vice-Chair
(403) 297-4233
(403) 297-6156 (Fax)
Louis Arki
Superintendent of Securities
(867) 975-6590
(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 Enforcement
(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)
Katharine Tummon
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
Rick Hancox
Executive Director
(506) 658-3060
(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
Gary MacDougall,
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
Sarah P. Bradley
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
Jose Loyola
Director General of International Affairs
011 52 55 1454-6020