State of Connecticut Department of Banking

Small-owned Businesses: Join us for a “Meet the Bankers” event on Wednesday, May 8th at 5:30 p.m. at CT Community College Housatonic in Bridgeport. Click here for more information. Pequeñas empresas: Participe con nosotros en el evento “Conozca a los Banqueros” el miércoles 8 de mayo a las 5:30 p.m. en CT Community College Housatonic en Bridgeport. Presione aquí para más información.

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