Alabama Securities Commission

The Alabama Securities Commission (ASC) regulates the securities industry in Alabama.   

The ASC protects investors against securities fraud and it provides enforcement against anyone who has violated the Alabama Securities Act or other state and federal statutes to the detriment of Alabama investors.  The Alabama Securities Act provides licensing and regulation of securities broker-dealers, agents, investment advisers and investment adviser representatives, and financial planners.

Address
401 Adams Ave, Montgomery, AL, 36104
Telephone
800-222-1253
Map