Alabama Securities Commission

Government - Montgomery, AL, US

Alabama Securities Commission Employees
Ashlee Gould

Senior Securities Analyst

Contact Ashlee Gould

Daniel Lord

Education and Public Affairs Manager

Contact Daniel Lord

Anne G.

Associate Counsel/Assistant Attorney General

Contact Anne G.

Rena Davis

Audit and Examination Division Manager

Contact Rena Davis

Feaga Steve

Deputy Director Enforcement and Litigation

Contact Feaga Steve

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Alabama Securities Commission Details

The Alabama Securities Commission (ASC) regulates the securities industry in Alabama. The Commission is committed to protect investors against securities fraud and provides aggressive enforcement actions against any firm or individual who has violated the Alabama Securities Act or other state and federal statutes to the detriment of Alabama investors.The Alabama Securities Act provides for the licensing and regulation of securities broker-dealers, agents, investment advisers and investment adviser representatives, and financial planners.The Commission regulates the individual securities through registration. All of the above entities must be registered with the ASC to conduct business in Alabama unless subject to a statutory exemption from registration.The Commission promotes financial literacy to all citizens and students in Alabama by providing presentations, free information and access to curricula for financial literacy education. Prepare yourself to make an informed investment decision! Contact the Alabama Securities Commission to determine if the representative and firm with whom you wish to do business are properly registered in Alabama. Our staff can also provide free information relating to the disciplinary history (crime, complaints, civil law suits, etc), educational background and work experience of a firm or representative.

Alabama Securities Commission logo, Alabama Securities Commission contact details
Website: asc.state.al.us
Employees: 100 - 249
HQ: 334-242-2984
Location: Montgomery, AL, US
Revenue: 2.5 - 5 Million
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