The Alabama Securities Commission (ASC) regulates the securities industry in Alabama. The Commission is committed to protect investors against securities fraud and provides aggressive enforcement actions against any firm or individual who has violated the Alabama Securities Act or other state and federal statutes to the detriment of Alabama investors.

The Alabama Securities Act provides for the licensing and regulation of securities broker-dealers, agents, investment advisers and investment adviser representatives, and financial planners.

The Commission regulates the individual securities through registration. All of the above entities must be registered with the ASC to conduct business in Alabama unless subject to a statutory exemption from registration.

The Commission promotes financial literacy to all citizens and students in Alabama by providing presentations, free information and access to curricula for financial literacy education. 

Prepare yourself to make an informed investment decision! Contact the Alabama Securities Commission to determine if the representative and firm with whom you wish to do business are properly registered in Alabama. Our staff can also provide free information relating to the disciplinary history (crime, complaints, civil law suits, etc), educational background and work experience of a firm or representative.

Government

Alabama Securities Commission

Alabama Securities Commission's headquarters in Montgomery, AL, United States

Amanda Senn

Mikala McCurry

Tim Adams

This department focuses on analyzing securities to provide insights and recommendations for investment strategies.

Securities Analysis

This department oversees legal matters, providing counsel and enforcing laws within the organization.

Legal Affairs

This department oversees audit processes and provides administrative support to ensure efficient operations.

Audit and Administration

This department manages internal and external communications, public relations, and information dissemination.

Alabama Securities Commission

Org chart

Teams

Securities Analysis

Legal Affairs

Audit and Administration

Communications Department

Offices

Alabama Securities Commission

Org chart

Teams

Securities Analysis

Legal Affairs

Audit and Administration

Communications Department

Offices

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