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 Department.Banking@ct.gov and it will be routed appropriately. Thank you for your patience during this time.

Agents of Issuer

Instructions

How to Register

Fees

Fee Waiver for Military Duty Personnel

Multiple Registration (Joint and Several Liability Undertaking Waiver)

Forms

Form U-4 (includes Instructions and Definition of Terms) 
Uniform Application for Securities Industry Registration or Transfer (57 pages)

Form U-5 (includes Instructions and Definition of Terms) 
Uniform Termination Notice for Securities Industry Registration (34 pages)

Form DBA-1 
Trade or Assumed Name Notification (2 pages)

Resources

Connecticut Uniform Securities Act Regulations Under the Connecticut Uniform Securities Act

Financial Industry Regulatory Authority (FINRA) Testing

Financial Industry Regulatory Authority (FINRA) Testing Center Locations

NASAA Series 63 Exam Study Guide

Third Party Study Vendors


Contact

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: kevin.maher@ct.gov or william.olesky@ct.gov

Travel directions