Securities Branch Office Information

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Far below normal precipitation has caused a drought and increased fire danger levels. All of Connecticut is currently in a Stage 2 Drought Advisory. Residents are encouraged to be mindful of water consumption and use extra caution to prevent fires. An emergency burn ban remains in effect at all state parks, forests, and wildlife management areas, prohibiting the use of all outdoor grills, firepits, campfires, etc.

Branch Offices

(Broker-dealers and Connecticut Registered Investment Advisers)

Instructions

How to Register

Connecticut Transitions to Electronic Filing for Branch Office Registrations Effective October 31, 2005

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

Waiver of On-Site Manager (Broker-dealer and Investment Advisory Branch Offices)

Forms

Form BR (Uniform Branch Office Registration Form)

Workers' Compensation Coverage Questionnaire

Resources

Connecticut Uniform Securities Act

Regulations Under the Connecticut Uniform Securities Act

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: dob.sec-reg@ct.gov
william.olesky@ct.gov

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