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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

Amie Spieth, Business Registration Examiner
(907) 465-5450
Broker-Dealer and Investment Adviser Registrations, Mutual Funds

Anchorage

Anchorage Securities Staff

Kristy M. Naylor, 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

Ann Penniston, Securities Examiner
(907) 269-2090
Examinations and Investigations

Leif Haugen, Securities Examiner
(907) 269-8144
Examinations and Investigations, Broker-Dealer and Investment Adviser Registrations

Yvonne Little, Investigator II
(907) 269-4584
Investigations

Selina Phillips, Investigator I
(907) 269-7499
Investigations