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51-200 employees
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Government Administration
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445 Dexter Ave, Montgomery, Alabama 36104, US
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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.
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Alabama Securities Commission Email Formats | Example Email Formats | Percentage |
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{f}{last} | [email protected] |
75%
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The widely used Alabama Securities Commission email format is {f}{last} (e.g. [email protected]) with 75% adoption across the company.
To contact Alabama Securities Commission customer service number in your country click here to find.
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