About The Securities Division
The Securities Division of the Georgia Secretary of State’s Office.
About the Division
The Securities Division of the Office of the Secretary of State is charged with the implementation and enforcement of the Georgia Uniform Securities Act of 2008, included in Chapter 10 of the Georgia Code. 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 procedures, and promotes financial literacy and investor education as part of investor protection.
This website contains important information for persons seeking to register as a broker/dealer, broker-dealer agent, investment adviser, or investment adviser representative. Members of the public can use this web site to access information relating to investment professionals registered as broker/dealers, broker/dealer agents, investment advisers, or investment adviser representatives.
You may file a securities-related complaint through the link labeled “Submit a Complaint.”