Licensing Fees
Under the Connecticut Uniform Securities Act
Note: All fees are nonrefundable.
Electronic filers make payments through the Central Registration Depository/Investment Adviser Registration Depository. For paper filers (e.g. agents of issuer), make checks payable to "Treasurer, State of Connecticut."
Initial fees | |
Initial registration fee for broker-dealers and investment advisers |
$340
|
Initial registration fee for agents of issuer, broker-dealer agents and investment adviser agents |
$125
|
Initial notice filing fee for federally registered investment advisers |
$275
|
Transfer fee: | |
Broker-dealer agent and investment adviser agent transfer fee |
$100
|
Broker-dealer agent and investment adviser agent mass transfer fee |
$75
|
Renewal fees: | |
Renewal registration fee for broker-dealers and investment advisers |
$215
|
Renewal notice filing fee for federally registered investment advisers |
$175
|
Renewal registration fee for agents of issuer, broker-dealer agents and investment adviser agents |
$125
|
Branch office fees: | |
Broker-dealer and investment adviser branch office registration fee - per Connecticut branch office |
$125
|
Broker-dealer and investment adviser branch office acquisition or relocation fee |
$125
|