Securities Branch Office Information

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A State of Emergency is in effect for all of Connecticut due to the major winter storm. [READ THE UPDATE]

Commercial vehicle travel is prohibited statewide until further notice. [READ THE UPDATE]

Connecticut executive branch state office buildings will be closed to the public on Monday, February 23. [READ THE UPDATE]

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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