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For Securities Licensing

The physical locations for the Department of Banking and Securities are currently closed.  We are maintaining operations through electronic communication.

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State Registered Investment Advisers: 

Financial Statement and Form ADV amendment filing requirements have both been extended until July 31, 2020.  Financial statements should be submitted electronically and it is recommended that you send them securely. When you are ready to file the financials, please send an email to 
RA-BNSecuritiesLIC1@pa.gov and we will send you instructions on how to submit them via encrypted email.  If you have any questions or concerns, don’t hesitate to contact us at RA-BNSecuritiesLIC1@pa.gov.

We will still be accepting applications for investment advisers, broker dealers, investment adviser representatives and agents of brokers. 

All filings will continue to go through the CRD system as usual. We will contact you via email once an application is submitted.

Please contact us via email with any questions or concerns at RA-BNSECURITIESLIC1@pa.gov.