Alabama Securities Commission

Please Note

We are a service company that can help you file with the Alabama Securities Commission. We are not associated with this nor any other government agency. We offer paid services and software to help you file. You are not required to purchase our service to file - you may file directly with this agency without using our service.

Contact Information

Phone: 1-800-222-1253
Fax: (334) 242-0240

Web: Home
Email: asc@asc.alabama.gov

Licenses

We track the following licenses with the Alabama Securities Commission in order to provide compliance services to our clients. As a client, you see this and other reference data in License Manager in-line with your licenses.

A laptop placed on a desk with our License Manager software on display

Alabama Charitable Gift Annuity Registration

Agency:Alabama Securities Commission
Law:

AL Code § 8-6-10 and Securities Commission Administrative Code 830-X-6-.10

Initial Registration

Form:

Form U-4: Uniform Application for Securities Industry Registration or Transfer

Agency Fee:

$60 per agent.

Notes:

Individual agents who solicit on behalf of an organization should register using form U-4. The issuing organization must also submit form U-2 and various supporting documents.

Registration Renewal

Agency Fee:

$60

Due:

Annually

Related Government Agencies

Explore other Alabama government agencies we can help you stay compliant with:


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