Skip to Content Skip to Chat

Settings Menu

  • Language
  • High Contrast
  • Font Size
  • Disclaimer

Connecticut's Extreme Hot Weather Protocol will be activated from Tuesday, July 14, through Thursday, July 16. Cooling centers are available statewide. To find the nearest location, visit www.211ct.org or call 2-1-1. [READ THE UPDATE]

CT.gov Logo Connecticut's Official
State Website
Top
Department of Banking New Logo
State of Connecticut Department of Banking
  • CT.gov Home
  • Department of Banking
  • Current: Securities Licensing
  • Business Opportunities
  • Consumer Assistance
  • Enforcement
  • External Links
  • Licensing Information
  • Securities Bulletin
  • Securities Division
  • Securities Registration
  • Verify a License
Search Department of Banking
Filtered Topic Search

Securities Licensing

Page 1 of 4

  • Securities Licensing

  • Exempt Reporting Adviser Information

  • Broker-Dealer Information Page

  • Securities Branch Office Information

  • Connecticut Securities Branch Office Registration Instructions

  • Instructions for Investment Adviser Agent Registration in Connecticut

  • Investment Advisory Codes of Ethics

  • Compliance Programs of Connecticut Investment Advisers

  • Advertising Filing Exemption for State Registered IAs

  • Form ADV Part II Filing Through IARD

  • Connecticut-Registered Investment Adviser Information

  • Securities Licensing Information

  • Client Defined for Connecticut DeMinimis Exemption for Investment Advisers

  • Securities Industry Personnel Testing Requirements

  • See if an Investment Adviser is Registered

  • 1
  • 2
  • 3
  • 4
  • Next
  • Policies
  • Accessibility
  • About CT
  • Directories
  • Social Media
  • For State Employees
  • United States Flag United States FULL
  • Connecticut Flag Connecticut FULL

© 2016 CT.gov | Connecticut's Official State Website

Connecticut Logo