DOB: Licensing Fees under the Connecticut Uniform Securities Act

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
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Transfer fee:
Broker-dealer agent and investment adviser agent transfer fee
$100
Broker-dealer agent and investment adviser agent mass transfer fee
$75
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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
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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