About

The Denver Regional Office is responsible for enforcing violations of the federal securities laws and examining regulated entities such as investment advisers, investment companies, and broker-dealers.

The Denver office primarily conducts its enforcement or examination activities in Colorado, Kansas, Nebraska, New Mexico, North Dakota, South Dakota, Utah, and Wyoming.

Contact the Office

303-844-1000 denver@sec.gov

Leadership

  • Nicholas Heinke—Associate Director (Enforcement)
  • Thomas Piccone—Associate Director (Examinations)