Securities - Contact Us

The Department of Commerce, Community, and Economic Development, Division of Banking and Securities has offices in Juneau and Anchorage.

Please note: The U.S. Postal Service will not deliver mail to the 150 3rd Street, Suite 217 address in Juneau.

Express deliveries, such as those made by UPS and FedEx, will be accepted at the 150 3rd Street, Suite 217 address in Juneau.

(There is more address information at the bottom of this page.)

Juneau

Shannon Nye, Bus. Reg. Examiner
(907) 465-6339
Exempt Securities, No-Action Letters

Sandy Fleek, Bus. Reg. Examiner
(907) 465-5450
Mutual Funds and Reg. D

Peggy Weaver, Investigator
(907) 465-6816

Kevin Anselm, Esq.
Div. Operations Manager/Enforcement and
Securities Chief
(907) 269-8140

Jill E. Farrell, Esq., Securities Examiner
(907) 269-8142
ANCSA Filings and Complaints

George R. Humm, CFA, Securities Examiner
(907) 269-8141
Securities Registration and
Coordinated Review

Roger Prince, Securities Examiner
(907) 269-8144
Examinations and Investigations

Linda Woller, Bus. Reg. Examiner
(907) 269-2090
Broker-Dealer, Investment Adviser Registrations