Alabama Securities Commission - Registration Division

Please Note

We are a service company that can help you file with the Alabama Securities Commission - Registration Division. We are not associated with this nor any other government agency. We offer paid services and software to help you file. You are not required to purchase our service to file - you may file directly with this agency without using our service.

Contact Information

Mailing address:
PO Box 304700
Montgomery, AL 36130

Phone: (334) 242-2984
Fax: (334) 242-0240

Web: Home


We track the following licenses with the Alabama Securities Commission - Registration Division in order to provide compliance services to our clients. As a client, you see this and other Compliance Core™ data in License Manager in-line with your licenses.

A laptop placed on a desk with our License Manager software on display

Alabama Charitable Gift Annuity Registration

Agency:Alabama Securities Commission - Registration Division

AL Code § 8-6-10 and Securities Commission Administrative Code 830-X-6-.10

Foreign Qualification is Prerequisite:Not Set
Exam Required?Not Set
Registered Agent (Special Agency) Required?Not Set

Initial Registration


Form U-4: Uniform Application for Securities Industry Registration or Transfer

Agency Fee:

$60 per agent.


Individual agents who solicit on behalf of an organization should register using form U-4. The issuing organization must also submit form U-2 and various supporting documents.

Registration Renewal

Agency Fee:




Related Government Agencies

Explore other Alabama government agencies we can help you stay compliant with:

Order Registered Agent Service

In my opinion, their "Human Touch" element is what really makes this company stand out! I wouldn't go anywhere else!
JanaeLaw Offices of Donald W. Hudspeth, PC
It's awesome to know that Harbor Compliance is looking out for my customers' best interests and will only do what's right for them.