Securities-Related Entities
Broker-dealers can be a person or a company in the business of buying and selling securities, operating as both a broker and a dealer, depending on the transaction.
Broker-dealer agents are individuals who represent broker-dealers, interact with investors and service brokerage accounts.
Investment advisers are firms or individuals compensated for advising investors on the purchase, sale or value of securities.
Investment adviser representatives (IA Reps) are individuals who represent investment adviser firms.
Issuers are companies that are raising capital through equity or debt to grow their business. Each offering of securities must be either registered or exempt from registration.
Contact Us:
Office of Corporation Finance:
(717) 425-5481
Bureau of Securities Compliance and Examinations:
(717) 783-4223
Securities Registration Office:
(717) 783-4217
RA-BNSECURITIESREG1@pa.gov