Bakkt Licenses & Disclosures
Bakkt Clearing, LLC Regulatory Information
Historical Data
Bakkt Clearing, LLC has not held customer funds since Friday, February 1, 2019, when it was operating as Rosenthal Collins Group, LLC. Therefore, beginning on Monday, February 4, 2019, there is no historical segregated or secured funds data for Bakkt Clearing, LLC.
Download Previous Years Financial Statement
Notices
The NFA provides certain FCM financial data available on their website
The CFTC also provides certain FCM financial data available on their website
Bakkt Trust Company LLC Customer Complaint Information
Please send any customer complaints to 10000 Avalon Boulevard, Suite 1000, Alpharetta, Georgia 30009; Help@bakkt.com; or call (800) 322-1719.
You may also send complaints directly to the New York Department of Financial Services via the contact information below:
Mail: New York State Department of Financial Services Attn: Consumer Affairs, One Commerce Plaza, Albany, NY 12257
Telephone Numbers: (800) 342-3736; (212) 480-6400; or (518) 474-6600
Email: consumer@dfs.ny.gov
Website: https://www.dfs.ny.gov/complaint
Bakkt Licenses
NMLS ID #1890144
Bakkt Marketplace, LLC. is licensed in the following US jurisdictions:
State | License | State Agency |
Alabama |
Sale of Checks License, #803 |
Alabama Securities Commission |
Alaska |
Money Transmitter License, #AKMT-012286 |
State of Alaska, Division of Banking & Securities |
Arizona |
Money Transmitter License, #1003995 |
Arizona Department of Financial Institutions at: |
Arkansas |
Money Transmitter License, #117493 |
Arkansas Securities Department |
Colorado |
Money Transmitter License, #500265 |
Colorado Division of Banking |
Connecticut |
Connecticut Money Transmission License, #MT-1890144 |
Connecticut Department of Banking |
Delaware |
Sale of Checks and Transmission of Money License, #28820 |
Office of the State Bank Commissioner Compliance |
District of Columbia |
District of Columbia Money Transmitter License, #MTR1890144 |
District of Columbia Department of Insurance, Securities, and Banking |
Florida |
Money Transmitters Part II License, #FT230000277 |
Florida Office of Financial Regulation |
Georgia |
Seller of Payment Instruments License, #68004 |
2990 Brandywine Rd, Suite 200 |
Idaho |
Money Transmitter License, #MTL-259 |
Idaho Department of Finance at: |
Illinois |
Money Transmitter License, #MT.0000364 |
Illinois Department of Financial and Professional Regulation Division of Financial Institutions 320 W. Washington Springfield, IL 62786 |
Indiana |
Money Transmitter License, #43320 |
Indiana Department of Financial Institutions |
Iowa |
Money Services License, #2019-0128 |
State of Iowa Division of Banking |
Kansas |
Kansas Money Transmitter License, #MT.0000163 |
Kansas Office of the State Bank Commissioner |
Kentucky |
Money Transmitter License, #SC711117 |
Kentucky Department of Financial Institutions |
Louisiana |
Money Transmitter License |
Louisiana Office of Financial Institutions PO Box 94095 Baton Rouge, LA 70804-9095 (225) 925-4660 |
Maine |
Money Transmitter License |
Department of Professional & Financial Regulation Bureau of Consumer Credit Protection |
Maryland |
Money Transmitter License, #1890144 |
Maryland Commissioner of Financial Regulation |
Michigan |
Money Transmitter License, #MT0022590 |
Michigan Department of Insurance and Financial Institutions |
Minnesota |
Money Transmitter License, #MN-MT-1890144 |
The Minnesota Department of Commerce Golden Rule Building, |
Mississippi |
Money Transmitter License, #1890144 |
Mississippi Department of Banking and Consumer Finance |
Missouri |
Sale of Checks and Money Transmitter License, #MO-22-8642 |
Missouri Division of Finance |
Nebraska |
Nebraska Money Transmitter License |
Nebraska Department of Banking & Finance 1526 K Street, Suite 300 Lincoln, NE 68508-2732 (402) 471-3445 |
Nevada |
Money Transmitter License, #MT11121 |
Nevada Department of Business and Industry 1830 College Parkway, Suite 100 Carson City, NV 89706 (775) 684-2970 |
New Hampshire |
Money Transmitter License, #23230-MT |
New Hampshire Banking Department |
New Jersey |
Money Transmitter License, #1904215 |
New Jersey Department of Banking and Insurance |
New Mexico |
Money Transmitter License |
Financial Institutions Division |
New York |
Money Transmitter License, #104834 Virtual Currency Business Activity, #0000021 |
New York State Department of Financial Services |
North Carolina |
Money Transmitter License, #186894 |
North Carolina Commissioner of Banks |
North Dakota |
North Dakota Money Transmitter License, #MT103534 |
North Dakota Department of Financial Institutions at: |
Ohio |
Money Transmitter License, #OHMT178 |
Ohio Division of Financial Institutions |
Oklahoma |
Oklahoma – DOB Money Transmission License |
Oklahoma Department of Banking |
Oregon |
Money Transmitter License, #30245 |
Oregon Division of Financial Regulation |
Pennsylvania |
Pennsylvania Money Transmitter License, #74089 |
Pennsylvania Department of Banking and Securities |
Puerto Rico |
Money Transmitter License, #TM-095 |
Puerto Rico Office of the Commissioner of Financial Institutions at: |
Rhode Island |
Currency Transmitter License, #20204030CT |
State of Rhode Island Department of Business Regulation |
South Carolina |
Money Transmitter License |
South Carolina Money Service Division |
South Dakota |
Money Transmitter License, #MT.2180 |
South Dakota Department of Labor and Regulation |
Tennessee |
Money Transmitter License, 1890144 |
Tennessee Department of Financial Institutions |
Texas |
Money Transmitter License, #3194 |
Texas Department of Banking, |
Vermont |
Money Transmitter License, #100-153 |
Vermont Department of Financial Regulation |
Virginia |
Money Transmitter License, #MO-380 |
Bureau of Financial Institutions |
Washington |
Money Transmitter License, #550-MT-121091 |
State of Washington - Department of Financial Institutions |
West Virginia |
Money Transmitter License, #WVMT-1890144 |
West Virginia Division of Financial Institutions |
Wisconsin |
Seller of Checks, #203-SOC |
Wisconsin Department of Financial Institutions |
Wyoming |
Money Transmitter License, #7271 |
Wyoming Department of Audit Hathaway Building |
Disclosures
State | Disclosure |
Alaska |
Please note that this license does not cover the transmission of virtual currency. For Alaska Residents Only: If your issue is unresolved by Bakkt at help@bakkt.com or (800) 322-1719, please submit formal complaints with the State of Alaska, Division of Banking & Securities. Please download the form here: https://www.commerce.alaska.gov/web/portals/3/pub/DBSGeneralComplaintFormupdated.pdf Submit formal complaint form with supporting documents: Division of Banking & Securities PO Box 110807 Juneau, AK 99811-0807 If you are an Alaska resident with questions regarding formal complaints, please email us at dbs.licensing@alaska.gov or call Nine Zero Seven Four Six Five Two Five Two One |
Arizona |
If you have a complaint regarding the company’s money transmission activity in the State of Arizona, please contact Bakkt at help@bakkt.com or (800) 322-1719. For unresolved complaints, please contact the Arizona Department of Financial Institutions at: 100 N 15th Avenue, Suite 261Phoenix, AZ 85007 Telephone: (602) 771-2800 |
Arkansas |
Bakkt, is a licensed money transmitter under Title 23, Chapter 55 of the Arkansas Code. Questions or concerns should be directed to Bakkt at help@bakkt.com or (800) 322-1719. For any unresolved consumer complaints, please contact: Arkansas Securities Department, Heritage West Building, 201 East Markham Street, Suite 300, Little Rock, AR 72201-1692, Telephone #: (501) 324-9260. |
Colorado |
Colorado State Banking Commissioner CUSTOMER NOTICE Entities other than FDIC insured financial institutions that conduct money transmission activities in Colorado, including the sale of money orders, transfer of funds, and other instruments for the payment of money or credit, are required to be licensed by the Colorado Division of Banking pursuant to the Money Transmitters Act, Title 11, Article 110, Colorado Revised Statutes. If you have a Question about or Problem with YOUR TRANSACTION - THE MONEY YOU SENT You must contact the Money Transmitter who processed your transaction for assistance. The Division of Banking does not have access to this information. If you are a Colorado Resident and have a Complaint about THE MONEY TRANSMITTER – THE COMPANY THAT SENT YOUR MONEY ALL complaints must be submitted in writing. Please fill out the Complaint Form provided on the Colorado Division of Banking’s website and return it and any documentation supporting the complaint via mail or email to the Division of Banking at: Colorado Division of Banking 1560 Broadway, Suite 975 Denver, CO 80202 email: DORA_BankingWebsite@state.co.us website: https://banking.colorado.gov/industry/money-transmitters Section 11-110-120, C.R.S. requires that money transmitters and money order companies post this notice in a conspicuous, well-lighted location visible to customers. |
District of Columbia |
If you have a complaint regarding the company’s money transmission activity in the District of Columbia, please contact Bakkt at help@bakkt.com or (800) 322-1719. For unresolved complaints, please contact the District of Columbia Department of Insurance, Securities, and Banking at: Telephone: (202) 727-8000 |
Florida |
NOTICE: By the Florida Office of Financial Regulation BY GRANTING BAKKT A LICENSE, THE FLORIDA OFFICE OF FINANCIAL REGULATION IS NOT ENDORSING THE USE OF DIGITAL OR VIRTUAL CURRENCIES.
POTENTIAL USERS OF DIGITAL OR VIRTUAL CURRENCIES, INCLUDING BUT NOT LIMITED TO BITCOIN, SHOULD BE FOREWARNED OF A POSSIBLE FINANCIAL LOSS AT THE TIME THAT SUCH CURRENCIES ARE EXCHANGED FOR FIAT CURRENCY DUE TO AN UNFAVORABLE EXCHANGE RATE. A FAVORABLE EXCHANGE RATE AT THE TIME OF EXCHANGE CAN RESULT IN A TAX LIABILITY. PLEASE CONSULT YOUR TAX ADVISOR REGARDING ANY TAX CONSEQUENCES ASSOCIATED WITH YOUR HOLDING OR USE OF DIGITAL OR VIRTUAL CURRENCIES. If you have a question or complaint, please contact the consumer assistance division of Bakkt at help@bakkt.com or (800) 322-1719. Florida residents may contact the Florida Office of Financial Regulation with any unresolved questions or complaints about Bakkt at 200 E. Gaines Street, Tallahassee, FL 32399-0376, telephone number: (800) 848-3792 (toll free). |
Georgia |
Bakkt is a licensed money transmitter in the state of GA. If you have a complaint or concern regarding its money transmission services, you may contact Bakkt at help@bakkt.com or (800) 322-1719. For unresolved complaints, you may contact: DEPARTMENT OF BANKING AND FINANCE FOR THE STATE OF GEORGIA |
Idaho |
If you have a complaint regarding the company’s money transmission activity in the State of Idaho, please contact Bakkt at help@bakkt.com or (800) 322-1719. For unresolved complaints, please contact the Idaho Department of Finance at: P.O. Box 83720, |
Illinois |
Illinois residents may contact the Illinois Department of Financial Institutions, Consumer Credit Section with any unresolved questions or complaints about Bakkt at Illinois Department of Financial and Professional Regulation Division of Financial Institutions 320 W. Washington Springfield, IL 62786 Tel: 1-888-473-4858 (toll-free). |
Indiana |
Bakkt holds a Money Transmitter license issued by the Indiana Department of Financial Institutions. This license does not cover virtual currency transactions. |
Louisiana |
Please note the license issued to Bakkt by the Louisiana Office of Financial Institutions does not cover the exchange or transmission of virtual currency. |
Maryland |
The Commissioner of Financial Regulation for the State of Maryland will accept all questions or complaints from Maryland residents regarding Bakkt (License No. 12-1890144 and NMLS ID: 1890144) at 1100 N. Eutaw Street, Suite 611, Baltimore, MD 21201 or by phone at (888) 784-0136 Verify Bakkt at: www.NMLSConsumerAccess.org, unique ID 1890144 |
Minnesota |
The Minnesota Department of Commerce (www.commerce.state.mn.us) will accept complaints at 651-539-1500 or by mail (Main Office, Golden Rule Building, 85 7th Place East Suite 280 Saint Paul, Minnesota 55101) |
Missouri |
If you have a complaint regarding the company’s money transmission activity in the State of Missouri, please contact Bakkt at help@bakkt.com or (800) 322-1719. For unresolved complaints, please contact the Missouri Division of Finance at: |
Nevada |
Bakkt is licensed by the Nevada Department of Business and Industry as a money transmitter. At this time, the Nevada Department of Business and Industry does not license or regulate services related to virtual currency, including but not limited to virtual currency transmission or exchange which may be conducted by Bakkt. |
New Hampshire |
If you have a complaint regarding the company’s money transmission activity in the State of New Hampshire, please contact Bakkt at help@bakkt.com or (800) 322-1719. For unresolved complaints, please contact the New Hampshire Banking Department at: New Hampshire Banking Department Telephone: (603) 271-3561 |
New York |
New York Department of Financial Services Bakkt Marketplace, LLC is licensed and regulated as a money transmitter and virtual currency business activity provider by the New York State Department of Financial Services. New York customers can direct unresolved complaints to: Consumer Assistance Unit NYS Department of Financial Services 1 State Street New York, NY 10004 Tel: (800) 342-3736 Website: https://www.dfs.ny.gov/complaint |
North Carolina |
If you have a complaint regarding Bakkt’s money transmission activity in the State of North Carolina, please contact Bakkt at help@bakkt.com or (800) 322-1719. For unresolved complaints, please contact the North Carolina Commissioner of Banks at: North Carolina Commissioner of Banks |
North Dakota |
If you have a complaint regarding the company’s money transmission activity in the State of North Dakota, please contact Bakkt at help@bakkt.com or (800) 322-1719. For unresolved complaints, please contact the North Dakota Department of Financial Institutions at: 200 Schafer Street, Suite G |
Ohio |
If you have a complaint regarding the company’s money transmission activity in the State of Ohio, please contact Bakkt at help@bakkt.com or (800) 322-1719. For unresolved complaints, please contact the Ohio Department of Commerce at: Division of Financial Institutions Telephone: (866) 278-0003 |
Oregon |
If you have a complaint regarding the company's money transmission activity in Oregon, please contact Bakkt at help@bakkt.com or (800) 322-1719. For unresolved complaints, please contact the Oregon Division of Financial Regulation at: Oregon Division of Financial Regulation Telephone: (866) 814-9710 |
Puerto Rico |
If you have a complaint regarding the company's money transmission activity in Puerto Rico, please contact Bakkt at help@bakkt.com or (800) 322-1719. For unresolved complaints, please contact the Puerto Rico Office of the Commissioner of Financial Institutions at: Office of the Commissioner of Financial Institutions |
Rhode Island |
If you have a complaint regarding the company’s money transmission activity in the State of Rhode Island, please contact Bakkt at help@bakkt.com or (800) 322-1719. For unresolved complaints, please contact the Rhode Island Department of Business Regulation at: State of Rhode Island Department of Business Regulation Telephone: (401) 462-9503 |
South Carolina |
If you have a complaint regarding the company’s money transmission activity in the State of South Carolina, please contact Bakkt at help@bakkt.com or (800) 322-1719. For unresolved complaints, please contact the South Carolina Money Service Division at: Money Service Division |
Tennessee |
Please note that this license and the required surety bond do not cover the transmission of virtual currency. Bakkt is licensed by the Tennessee Department of Financial Institutions as a money transmitter. The Tennessee Department of Financial Institutions does not regulate virtual currency. |
Texas |
If you have a complaint, first contact the consumer assistance division of Bakkt at help@bakkt.com or (800) 322-1719. If you still have an unresolved complaint regarding the company's money transmission or currency exchange activity, please direct your complaint to: Texas Department of Banking, 2601 North Lamar Boulevard, Austin, Texas 78705, www.dob.texas.gov. |
Virginia |
Bakkt is licensed by the Virginia State Corporation Commission as a money transmitter, but such license does not cover the transmission of virtual currency (Bitcoin). |
Washington |
If you have a complaint, first contact the consumer assistance division of Bakkt at help@bakkt.com or (800) 322-1719, and if you still have an unresolved complaint regarding the company’s money transmission activity, please contact the Washington State Department of Financial Institutions, Division of Consumer Services using one of the following methods: File a complaint online, mail or fax: Call us: 1-877-RING DFI (1-877-746-4334) |
Wyoming |
If you have a complaint regarding the company’s money transmission activity in the State of Wyoming, please contact Bakkt at help@bakkt.com or (800) 322-1719. For unresolved complaints, please contact the Wyoming Department of Audit at: Wyoming Department of Audit Hathaway Building |