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Contact information for state securities regulators

Updated 8-24-2010

Source: North American Securities Administrators Association


Alabama
Securities Commission
401 Adams Avenue
Second Floor
Montgomery, AL 36130

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 Community and
Economic Development 
Div. of Banking, Securities
& Corporations
150 Third Street, Room 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) 594-7470 (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 

Preston DuFauchard
Commissioner

(916) 445-7205 
 

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

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

Peter Jamison
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
Financial Services Commission
Office of Financial Regulation
200 East Gaines Street
The Fletcher Building
Tallahassee, FL 32399-0372

Franklin Widmann
Director, Division of Securities
(850) 410-9500
(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

Robert Terry
Director, Division of Securities

(404) 656-3920
(404) 657-8410 (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 
 

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
340 E. Maple Street
Des Moines, IA 50319-0066

Jim Mumford 
Securities Administrator

(515) 281-4441
(515) 281-3059 (Fax)
 

Kansas
Office of the Securities Commissioner
109 SW 9th Street
Suite 600
Topeka, KS 66612

Marc S. Wilson
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
Securities Division
State House Station 121
Augusta, ME 04333

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
Conduct Review & Securities Division
Office of Financial & Ins. Services
Dept. of Labor & Economic Growth
611 West Ottawa St, Third Floor
Lansing, MI 48933

Ken Ross
Commissioner
Office of Financial & Insurance Services

(877)999-6442
(517)241-3356 (Fax)
 

Minnesota
Department of Commerce
85 East 7th Place
Suite 500
Saint Paul, MN 55101

Brett Bordelon
(651) 296-4026
(651) 296-4328 (Fax) 

 

Mississippi
Office of the Secretary of State
Business Regulation
& Enforcement Division
700 North Street
Jackson, MS 39202

Tanya Webber
Asst. Secretary of State
(601) 359-9055
(601) 359-9070 (Fax)
 

Missouri
Office of the Secretary of State
600 West Main Street
Jefferson City, MO 65101

Matt Kitzi
Securities Commissioner

(573) 751-4136

(573) 526-3124 (Fax)
 


 

Montana
Office of the State Auditor
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
5th Floor, Suite 5200
Las Vegas, NV 89101

Carolyn Ellsworth
Securities Administrator

(702) 486-2440
(702) 486-2452 (Fax)
 

New Hampshire
Bureau of Securities Regulation
PO Box 3715
Suite 317A 3rd Floor
Concord, NH 03302-3715

Vacant 
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

Marc Minor
Bureau Chief

(973) 504-3600
(973) 504-3601 (Fax)
 

New Mexico
Regulation & Licensing Department
Securities Division
2550 Cerrillos Road
Santa Fe, NM 87505

Michael Vargon
Acting Director

(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

Elizabeth Block
(212) 416-8222
 

North Carolina
Secretary of State
Securities Division
Old Revenue Complex
2 S. Sali
sbury 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) 328-2946 (Fax)
 

Ohio
Division of Securities
77 South High Street
22nd Floor
Columbus, OH 43215

Andrea Seidt
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

David Tatman
Division Administrator

(503) 378-4140
(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) 783-5125 (Fax)
 

Puerto Rico
Commission of Financial Institutions
Fernandez Juncos Station  PO Box 11855
 
San Juan, PR 00910-3855

Asdrubal Aponte
Director of Enforcement 
(787) 723-3131 
 

Rhode Island
Department of Business Regulation
1511 Pontiac Avenue
John O. Pastore Complex Bldg. 6901              
Providence, RI 02903-4232

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
1000 Assembly Street
Columbia, SC 29201

T. Stephen Lynch
Deputy Securities Commissioner
(803) 734-4731
(803) 734-3677 (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
Chief of Securities Regulation 
(340) 774-7166 


Utah
Department of Commerce
Division of Securities
160 East 300 South
2nd Floor
Salt Lake City, UT 84111

Keith Woodwell
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

Thomas Candon
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

Scott Jarvis
Interim 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
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

Karen Wheeler
Division Director

(307) 777-7370
(307) 777-76409 (Fax)


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