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Securities

The Pennsylvania Department of Banking and Securities registers more than 200,000 broker-dealersbroker-dealer agentsinvestment advisersinvestment adviser representatives, and notice filers who conduct securities-related business in Pennsylvania. The department also reviews more than 5,000 securities offerings made to Pennsylvanians each year.


We provide free help to anyone with a question, concern or complaint about Pennsylvania financial institutions, services, or products.  Simply call 
1.800.PA.BANKS (800.722.2657) or use our online complaint form and a trained professional will respond within 24 hours during the week.

The department is accredited by the Conference of State Bank Supervisors
the American Association of Residential Mortgage Regulators and the National Association of State Credit Union Supervisorsand is a member of the North American Securities Administrators Associationthe Money Transmitters Regulators Associationand the National Association of Consumer Credit Administrators.

Our work is funded entirely by the assessments and fees paid by Pennsylvania’s regulated financial community.  No taxpayer dollars are used to support our wor