Begin Main Content Area

Web Portal Resources

________________________________________________________________________________

Frequently Asked Questions

What is the DoBS Portal?

The DoBS Portal is a secure, digital self-service web portal for use by professionals, institutions, and businesses regulated by the Pennsylvania Department of Banking and Securities that replaces many processes that previously required paper forms and documentation.

What can I do in the DoBS Portal?

The DoBS Portal will allow you to access the dashboard that is appropriate for your specific industry. The services and benefits of the DoBS Portal will differ based on industry, license, or registration type.

Non-Depository Institutions: Apply for a license online; retrieve a copy of a license certificate; edit or remove an officer; access books/records; update information; track pending tasks; and submit documents and information for examinations.

Depository Institutions: Apply for a new bank charter; track pending tasks; and submit, review and withdraw filings.

Securities: Track pending tasks; join an organization; receive notices of examination; and receive decision notifications.

Corporation Finance: Track pending tasks and submit a generic filing.

Can I withdraw my license application using the Portal?

Yes. You can withdraw an application by navigating to the Active Applications page and clicking the "Withdraw" button. You will need to give a reason for the withdrawal.

Are there step-by-step instructions available to walk me through how to use the DoBS Portal?

User manuals that provide detailed instructions are available:

Non-Depository DoBS Portal User Guide 

Securities DoBS Portal User Guide

Can I make an electronic payment to the department using the Portal?

You will be able to make online payments for certain transactions. The Portal will direct you to a third-party vendor to process the online payment.

What is Keystone Login?

The DoBS Portal requires use of the Keystone Login, a single, secure user credential used to log in to multiple online services provided by the commonwealth. Keystone Login uses advanced authentication tools to prevent unauthorized access and protect personal data.

My Keystone Login is not working. Who should I contact?

If you need assistance with your Keystone Login, contact the Keystone Login Help Desk. The help desk can be reached at 877-328-0995 or keystoneloginsupport@randstadusa.com

I have a question about the Portal that does not involve the Keystone Login. Who should I contact?

Depository Filings:

For general questions regarding filings:

Sheila Hughes 717-783-8240 or sheihughes@pa.gov

For specific questions contact your assigned Case Manager:

Jessica Delaney, Case Manager:  (717) 503-6179 or jdelaney@pa.gov

Alison Cestello, Case Manager:  (412) 565-7519 or acestello@pa.gov

Donna Weller, Case Manager:  (717) 783-2497 or doweller@pa.gov 

Depository Examinations:

Questions regarding examinations should be directed to the assigned EIC or your Field Supervisor and/or Mary Rutkowski, Field Examinations Chief at (717) 503-5574 and marutkowsk@pa.gov. 

Jessica Kessock, Field Supervisor:  (717) 412-8100 or jkessock@pa.gov

Michael Goffredo, Field Supervisor:  (717) 439-2194 or migoffredo@pa.gov 

Non-Depository:

Licensing: 717-787-3717 or ra-AskLicensing@pa.gov

Compliance: 717-772-3889 or ra-AskCompliance@pa.gov

Examinations: 717-425-5460 or ra-AskExams@pa.gov

Securities:

Licensing:

For Broker-Dealer Firms:  717.783.4211

For Broker-Dealer Agents:  717.783.4212

For Investment Adviser Firms and Representatives:  717.783.4211

For Investment Adviser Notice Filers:  717.783.4221

For issues regarding securities offerings, call 717.787.8059

RA-BNSECURITIESLIC1@pa.gov