Securities

How to 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 street address in Juneau.  However, express deliveries such as those made by UPS and FedEx, will require the street address.

Juneau

Juneau Securities Staff

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

Cierra Kendrick, Bus Registration Examiner
(907) 465-5450
Investment Advisers, Broker Dealers, Mutual Funds

Nathan McBride, Investigator II
(907) 465-6816

 

Anchorage

Anchorage Securities Staff

 

Kristy M. Naylor, Acting Operations Manager/Securities and Enforcement Chief
(907) 269-7675

David Newman, Securities Examiner
(907) 269-7678
Examinations and Investigations

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

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

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