The Securities Division of the Secretary of State’s Office is charged with the implementation and enforcement of the Georgia Uniform Securities Act of 2008. The Securities Division registers securities offered or sold in Georgia, oversees firms and individuals selling securities or providing investment advice in Georgia, enforces the Securities Act through criminal, civil and administrative penalties, and promotes investor education.
This web site contains important information for persons seeking to register with the Commissioner as a broker/dealer, investment adviser, broker/dealer agent, or investment adviser representative. Additionally, persons wishing to register a security with the Commissioner will find all requisite forms under the tab “Securities Forms." Members of the public can use this web site to access information relating to investment professionals registered as broker/dealers, investment advisers, broker/dealer agents, or investment adviser representatives.
This web site also allows you to file a detailed securities-related complaint by clicking the tab entitled “Submit a Complaint.”