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DORA is dedicated to preserving the integrity of the marketplace and is committed to promoting a fair and competitive business environment in Colorado. Consumer protection is our mission.
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General Information for Investors
Colorado Securities Division -
Enforcement Actions by the
Colorado Securities Division -
Help with making investment decisions
Colorado Securities Division -
Contact Information for the
Colorado Securities Division -
Information for filing securities applications
Colorado Securities Division -
Investor Education Topics
Colorado Securities Division
Quick Links for the Securities Division
- General Information
- About the Division
- DORA Divisions
- FAQs
- File a Complaint
- Contact the Division
- Calendar
General Information from the Securities Division
The Colorado Division of Securities regulates StockBrokers, Investment Advisers, Stocks, and Bonds
The folowing list contains all of the Department of Regulatory Agencies different Divisions
Executive Director's Office
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The Executive Director's Office provides leadership and support to DORA’s nine divisions. Functions include Accounting and Purchasing, Budgeting, Human Resources, Information Technology Services, and the Office of Policy, Research and Regulatory Reform. Barbara J. Kelly, Executive Director
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Division of Civil Rights
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DORA’s Colorado Civil Rights Division is charged with the enforcement of the state’s civil rights statutes in order to protect businesses and consumers from the damages of discrimination. Steven Chavez, Director
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Division of Insurance
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DORA’s Division of Insurance protects consumer rights and educates consumers to make informed decisions about insurance. DOI regulates insurance industry fairly to promote a competitive business environment. Jim Riesberg, Commissioner
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Division of Professions and Occupations
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DORA’s Division of Professions and Occupations is dedicated to consumer protection through the licensure and enforcement of over 40 professions, occupations and businesses in the state totaling over 300,000 people. Lauren Larson,Director
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Office of Consumer Counsel
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DORA’s Office of Consumer Counsel is the consumer advocate before the PUC for regulated utilities involving electricity and natural gas bills, telephone bills (Qwest and other companies) and other matters. William Levis
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Public Utilities Commission
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As a division within DORA, the PUC strives to protect Colorado ratepayers and preserve healthy utilities. It regulates investor-owned telecommunications, electric, gas and water utilities, and motor vehicle carriers for hire. Doug Dean, Director
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Division of Banking
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DORA’s Division of Banking protects consumers by conducting examinations of all state-chartered or licensed financial institutions under its supervision, to preserve public trust in the Colorado banking industry. Fred J. Joseph, Commissioner
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Division of Financial Services
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DORA’s Division of Financial Services protects consumers by acting like the state-chartered credit union, savings and loan association, and life care institution police. We ensure that the people entrusted with your money follow the laws, regulations, and industry standards. Chris Myklebust, Commissioner
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Real Estate Division
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DORA’s Division of Real Estate protects real estate consumers by licensing and enforcing laws for real estate brokers, mortgage brokers and appraisers. Marcia Waters, Commissioner
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Division of Securities
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DORA’s Division of Securities protects investors by investigating cases of potential investment fraud, examining licensed investment advisers and stockbrokers, and conducting outreach and educational presentations. Fred J. Joseph, Commissioner
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Office of Policy, Research and Regulatory Reform
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OPRRR enhances consumer protection through reviews of regulation and policy throughout state government to ensure that regulation is necessary, effective, consistent, flexible and fair. Bruce Harrelson, Director
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The following Questions and Answers refer to telephone calls that regularly come into the Colorado Division of Securities and should be of assistance.
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Investing or Filing
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A Select the "Quick-Link" at the top of this page titled "Registration and Exemption filings"
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A Refer to the information about Private Offerings found in the "Quick Links" section at the top of this page titled "Registration and Exemption Filings".
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A Refer to the information found in the "Quick Links" section at the top of this page titled "Public Inquiries" and then select the "Investor Education" tab. There is a Link on this page referring to "How to Check Out Your StockBroker". Then select the "Broker-Check" link on the FINRA web site.
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General Questions
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A Refer to the information about "Old Stock Certificates" found in the "Quick Links" section at the top of this page titled "Public Inquiries".
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A The Colorado Division of Securities DOES NOT regulate Securitiy Guards. You must contact your local City/County government offices for that information.
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Licensing
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A Refer to the information found at the "Quick Links" section near the top of this page concerning Broker and Adviser licenses.
Information regarding Filing a Complaint with the Colorado Securities Division
If you have problems with your stockbroker, investment adviser, financial planner, company you purchased stock from or any other securities related situation, please read below:
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If we can't clearly understand your complaint or inquiry, it will be more difficult for us to help you. Please take a minute to organize your information so that the details are clearly and completely stated.
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Before you begin, it might help you to make a list of the things you want to say.
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Try to present the events in the order in which they happened, using dates whenever possible.
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Please TYPE or WRITE legibly.
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If you can, please enclose legible "copies" of documents such as contracts, prospectuses, agreements, canceled checks (front and back), advertisements, letters, or other documents that may be material to your complaint. You should not send original documents. If your copies are very numerous, please send only the most important ones.
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Fill out the complaint form as completely as possible and return it to the Division.
CLICK HERE to View or Print the Complaint Form
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You may obtain a COMPLAINT FORM from the:
Colorado Division of Securities
1560 Broadway, Suite 900
Denver, CO 80202
303-894-2320
Mail the completed form to the address above.
The following information is the contact and physical address for the Division of Securities
Office Address
Colorado Division of Securities
1560 Broadway
Suite 900
Denver, CO 80202
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Telephone Number: |
(303) 894-2320 |
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Fax Number: |
(303) 861-2126 |
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Email Address: |
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Secure/Encrypted Email: |
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Internet Address |
Connect
Contact
1560 Broadway, Suite 900, Denver, CO 80202 Email
(303) 894-2320 - Phone (303) 861-2126 - Fax
