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
|