Licensing/Registration

The Pennsylvania Department of Banking and Securities licenses and regulates financial institutions throughout the Commonwealth, including:

Non-Depository Institutions

Find a bank, credit union or mortgage company or professional near you. For issues or questions regarding a license application, contact the Licensing Division or call 717.787.3717. For compliance issues, contact the Compliance Division or call 717-772-3889.
 

Securities

•   Broker-Dealers

•    Agents

•   Investment Advisers

•   Investment Adviser Representatives

•    Federally Covered Advisers (Notice Filers)