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
Email: asc@asc.alabama.gov

Licenses

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 reference 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
Law:	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

More Details

Form:	Form U-4: Uniform Application for Securities Industry Registration or Transfer
Agency Fee:	$60 per agent.
Notes:	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.