Securities Licensing Information

Warning!

It seems that JavaScript is not working in your browser. It could be because it is not supported, or that JavaScript is intentionally disabled. Some of the features on CT.gov will not function properly with out javascript enabled.

Settings Menu

Language
High Contrast
High Contrast Mode On or Off switch
Font Size
Disclaimer

This is a test alert from the Office of the Governor. This alert displays across all sites under Sitecore and appears at the top of the page.

Securities Licensing Information

Information by Licensing Type

Agents of Issuer

Branch Offices
(Broker-dealers and Connecticut-Registered Investment Advisers)

Broker-dealers

Exempt Reporting Advisers

State-Registered Investment Advisers

SEC-Registered Investment Advisers

Investment Adviser Agents

State of Connecticut Department of Banking

Securities Licensing Information

Information by Licensing Type