Securities Commission

Contact the Securities Commission

Mission Statement

The Securities Commission, a division of the West Virginia State Auditor’s Office, administers and enforces The West Virginia Uniform Securities Act, The West Virginia Commodities Act, The West Virginia Real Estate Time-Sharing Act, and all associated regulations. The administrative duty of the Securities Commission includes the regulation of securities offerings, commodities, and time-shares as well as any required registration and notice filing of such regulated firms, individuals, and securities. The enforcement duty of the Securities Commission includes the review of complaints and investigations of regulated entities and activities as wells as investigation of fraudulent activities. The primary mission of the Securities Commission is protection of West Virginia residents from prohibited activities within its jurisdiction while maintaining a fair and competitive environment for businesses.

Office of the State Auditor
Securities Commission

1900 Kanawha Boulevard East
State Capitol Complex
Building 1 Room W-100
Charleston WV 25305
Local: 304-558-2251
Fax: 304-558-4211

Please contact the Securities Commission for registration status and background information of any investment, broker-dealer, investment adviser, or timeshare, before you invest.

Please contact the Securities Commission if you have been approached or victimized by securities or timeshare fraud.

Please select the appropriate link on the left side of the screen for more information, or click below to e-mail the appropriate individual concerning the following:

Agent of Issuer
Exemptions for Securities
General Questions
Interpretive Opinions
Investment Advisor
Media & Communications
Mutual Funds
Registered Securities
Regulation D Filings
Oil & Gas

For inquiries regarding the licensing and/or record of registration of an investment, broker-dealer, investment adviser, or timeshare, and for investor and timeshare complaints, you may select the appropriate form below, complete the form, and send either as an email attachment to the appropriate person above, or mail to the address listed at the top of the page.

Adobe PDF Licensing/Registration Record Inquiry Form
Adobe PDF Investor Complaint Form
Adobe PDF Timeshare Complaint Form


The West Virginia Securities Commission uses links to other Web sites for the convenience of the user. Whenever you click on links provided, you are leaving the West Virginia Securities Commission and entering an external site. The Security Commission cannot attest to the accuracy of the information provided by the external linked sites, nor does the Securities Commission endorse any products or information obtained from these external sites.

1900 Kanawha Boulevard East, Building 1, Room W-100, Charleston, WV 25305
Toll Free 877.982.9148   Phone 304.558.2261   Fax 304.558.5200

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