In accordance with Governor Lamont's emergency declaration, employees and the public are asked to observe social distancing measures to ensure communal safety and to slow the spread of the novel coronavirus (COVID-19). People are asked to work from home and telecommute wherever possible. Adhering to these instructions, the Department of Banking has closed its offices to the public. However, agency staff will continue to provide services to consumers and industry through telework. When contacting the Department, please use electronic communication whenever possible. Agency staff will continue to check voicemails during this time. 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.

Investment Adviser Agents

Instructions

How to Register

Fees

Fee Waiver for Military Duty Personnel

Multiple Registration (Joint and Several Liability Undertaking Waiver)

Investment Adviser Registration Depository Order (January 16, 2003)

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

Forms

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

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

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

Resources

Connecticut Uniform Securities Act

Regulations Under the Connecticut Uniform Securities Act

Connecticut Testing Requirements for Securities Industry Personnel

FINRA Testing

FINRA Testing Center Locations

NASAA Series 65 and Series 66 Exam Study Guide

Third Party Study Vendors

Examination Waiver for Holders of Chartered Financial Consultant ("ChFC") 
or Chartered Life Underwriter ("CLU") Designations

Amended Order Concerning the Modified Series 65 and 66 Examinations (March 28, 2000)

Order Adopting the Modified Series 65 and 66 Examinations (December 2, 1999)

Investment Adviser Registration Depository (IARD)


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: dawn.mafera@ct.gov or kevin.maher@ct.gov  

Travel directions