To protect the health and safety of the public and our employees, the Department of Banking has limited the number of employees at our office at 260 Constitution Plaza in Hartford. When contacting the Department, please use electronic communication whenever possible. Consumers are encouraged to use our online form for complaints. If you are unsure where to send an inquiry, you may send it to and it will be routed appropriately. Thank you for your patience during this time.

State-Registered Investment Advisers

In response to the outbreak of the coronavirus, the Department has issued the following memo regarding Connecticut-registered investment adviser filings: 

Connecticut-Registered Investment Advisers:  Relief From Financial Reporting Obligation In Light of Coronavirus Pandemic


How to Register


Part 2 of Form ADV:  Pointers

Branch Office Registration, Electronic Filing (Order Adopting Form BR)

Order Establishing a State Registration Timetable for Certain Investment Advisers Affected by the Dodd-Frank Wall Street Reform and Consumer Protection Act

Order Governing Certain Investment Advisers Exempt from Federal Registration Following Passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act  (Effective July 21, 2011)

De Minimis Exemption, "Client" Defined (Amended and Restated 7/11/2011)

De Minimis Exemption, "Client" Defined (Original version, March 4, 1999)

Fee Waiver for Military Duty Personnel

Advisers Exempt from Federal Registration Under Section 203(b)(3) of the Investment Advisers Act of 1940 (rescinded effective July 21, 2011)


Advertising Filing Exemption (Post-Registration)

Client Password Use by Investment Advisory Personnel

Code of Ethics

Compliance Programs

Custody Requirements Updated

Hedge Clauses in Contracts

Persons Displaced by Hurricane Katrina or Rita (No-Action Determination Extended to 6/30/2006)

Internet Dissemination of Information on Products and Services


Connecticut Supplement for State-Registered Investment Advisers

Form ADV (Parts 1 and 2)

Form ADV (Part 2 only)

Form DBA-1 (Trade or Assumed Name Notification)

Investment Advisory Registrant's Certificate (Connecticut-based firms only)


Connecticut Uniform Securities Act

Regulations Under the Connecticut Uniform Securities Act

Investment Advisers Act of 1940

Securities Lawyer's Deskbook (Univ. of Cincinnati College of Law)

Examination Program (Books and Records Inspections)

Investment Adviser Look-Up

Certified Financial Planner Look-Up (external link)

Investment Adviser Registration Depository (IARD)

Investment Adviser Registration Depository Order (January 16, 2003)

Investment Adviser Registration Depository Order (September 29, 2000)


For more information or assistance, contact us at:

Connecticut Department of Banking
Securities Division
260 Constitution Plaza
Hartford, CT 06103-1800

Telephone: (860) 240-8230 or toll-free 1-800-831-7225
E-mail: or

Travel directions