Licensing Fees
Under the Connecticut Uniform Securities Act

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."

Note: All fees are nonrefundable.

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: $125
per Connecticut branch office

Broker-dealer and investment adviser branch office acquisition or relocation fee: $125