SECURITIES

Welcome to the Division of Securities

  Click here to learn about the Commerce Department Division of Securities.

  Click here for information about the leadership in the Division of Securities.

  Click here for services that make getting the information you need quick and easy.

  Click here for Laws, Rules and Guidelines.

ABOUT US

The Division of Securities administers and enforces the Ohio Securities Act. The Division licenses broker-dealers, securities salespersons, investment advisers, investment adviser representatives and investment officers. The Division also registers securities offered for sale to Ohioans. When Ohio securities law is violated, the Division can pursue administrative actions, civil injunctive actions and criminal referrals. Ohio is considered a model state in its licensing, registration, and enforcement practices.

COMMISSIONER

COMMISSIONER
ANDREA SEIDT
Contact Me

Andrea Seidt is a national leader in state securities regulation through her role with the North American Securities Administrators Association. Seidt has served as Commissioner of Securities since 2008. Prior to her appointment, she worked on investor and consumer protection litigation as Deputy Chief Counsel for the Ohio Attorney General’s Office. She has also worked in private practice. Seidt received her undergraduate and law degrees from The Ohio State University.

ONLINE SERVICES

Ohio Securities Bulletin Subscribe to the Ohio Securities Bulletin or search our database for past issues.

Registration Filing Database (ERNIE) Database identifying registration and exemption filings with the Ohio Division of Securities.

Request A Record This service gives Ohioans the opportunity to receive information on a securities professional’s licensing history.

Find A Division Order The purpose of this database is to allow the public to search the Orders issued by the Division for violations of the Ohio Securities Act.

Related Links
NASAA SEC FINRA CFTC Ohio Dept. of Insurance Ohio Secretary of State Business Filings

LAWS & RULES

Laws, Rules and Guidelines
1301:6 Division of Securities ORC Chapter 1707 Division Merit Standards Index of NASAA Statements of Policy

Investigate before you invest.
Call the Division's Investor Protection Hotline at 1-877-683-7841.
INDUSTRY PROFESSIONALS
Welcome to the Division of Securities' section for Industry Professionals
Broker-Dealers
Investment Officers
Investment Advisers
Registration and Exemption Filing Forms
Registration Filings

Form 6(A)(1)

Form 6(A)(2)

Form 6(A)(3)

Form 6(A)(4)

Form 9

Form U-1

Exemption Filings

Form D - Instructions

Form 3-Q

Form 3-W

Form 3-Y
Corrective Filings

Form 39

Form 391

Non-Prejudice Statement

Other Filings

Form 4

Form 41

Form NF

Other Forms

Form 11

Form U-2

Form U-2A

Form U-7

U-7 with Manual
Securities Resources
Our goal is an honest and fair securities market.
We promote capital formation balanced with investor protection.
INVESTORS & PUBLIC
Welcome to the Division of Securities' section for the General Public & Investors
Complaints
- File A Complaint For Securities Violations Online
- File A Complaint For Securities Violations
Dealing With Brokers/Agents
Investment Fraud
Understanding Investment Types
Search Sites
Military Families
- Personal Finance For Military Families
Investor Education
Trust your instincts.
If it sounds too good to be true, it probably is.
CONTACT US

Welcome to the Division of Securities Contacts

Visit Us

Give us your

Hours Of Operation
8 AM - 5 PM (EST)
Monday - Friday

Mailing Address
Ohio Department Of Commerce
Division Of Securities
77 South High Street
22nd Floor
Columbus, OH 43215
Media Relations
Phone 614-728-1949
Email communications@com.state.oh.us

Phone 614-644-7381
Fax 614-728-2846

Investor Protection Hotline
877-683-7841

Email
securitiesgeneral.questions@com.state.oh.us

Key Contacts

We investigate alleged violations of securities laws.
File a complaint if you think Ohio securities laws have been violated.

2021 OHIO SECURITIES CONFERENCE

October 22, 2021

A Virtual Conference Presented by the

Ohio Division of Securities

and the University of Toledo College of Law

Speaker biographies and presentation materials

Click here for the agenda
Meet Our Speakers
Conference Presentation Materials

CONTACT US

Division of Securities
77 South High Street
22nd Floor
Columbus, OH 43215

Phone 614.644.7381

Webmaster
Contact the Webmaster for Questions
or Comments on the Website:
webmaster@com.state.oh.us

CONNECT WITH US

LOOKUP SERVICES

Request A Record Registration Filing Database (ERNIE) Subscribe To Securities Bulletin Find A Bulletin Article Find A Division Order

INVESTOR EDUCATION

Becoming An Informed Investor Get The Facts About Online Investing Check Before You Invest! Investor Bill of Rights English Investor Bill of Rights Spanish Understanding Brokerage Account Statements

ABOUT SECURITIES

Director Sheryl Maxfield Commissioner Andrea Seidt FAQs

Related Links

Laws, Rules and Guidelines

Investigate before you invest.

Broker-Dealers

Investment Officers

Investment Advisers

Registration and Exemption Filing Forms

Securities Resources

Our goal is an honest and fair securities market.

Complaints

Dealing With Brokers/Agents

Investment Fraud

Understanding Investment Types

Search Sites

Military Families

Investor Education

Trust your instincts.

Visit Us

We investigate alleged violations of securities laws.