State of Connecticut Department of Banking

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.

Licensing Fees
Under the Connecticut Uniform Securities Act

Note: All fees are nonrefundable.

Electronic filers make payments through the Central Registration Depository/Investment Adviser Registration Depository.  For paper filers (e.g. agents of issuer), make checks payable to "Treasurer, State of Connecticut."

Initial fees
Initial registration fee for broker-dealers and investment advisers
$340
Initial registration fee for agents of issuer, broker-dealer agents and investment adviser agents
$125
Initial notice filing fee for federally registered investment advisers
$275
 
Transfer fee:
Broker-dealer agent and investment adviser agent transfer fee
$100
Broker-dealer agent and investment adviser agent mass transfer fee
$75
 
Renewal fees:
Renewal registration fee for broker-dealers and investment advisers
$215
Renewal notice filing fee for federally registered investment advisers
$175
Renewal registration fee for agents of issuer, broker-dealer agents and investment adviser agents
$125
 
Branch office fees:
Broker-dealer and investment adviser branch office registration fee -
per Connecticut branch office
$125
Broker-dealer and investment adviser branch office acquisition or relocation fee
$125