InvestorTrustHub · Alabama
The Alabama Securities Commission Registration Division registers firms and individuals that offer or sell securities or provide investment advice in Alabama. State investment adviser filings, notice filings, investment adviser representatives, broker-dealers, and broker-dealer agents are separate registration classes. Registration is reported source status, never an endorsement.
ASC Registration lists investment adviser state filing separately from investment adviser notice filing. State IA, federal notice, ERA and principal-office geography are distinct firm-CRD lenses. They cannot be summed. Counts below use regulator jurisdiction code AL, not a main-office address. APPROVED and FILED are IAPD status text, not a quality judgment.
165
StateRgstn/Rgltr/@Cd=AL and @St=APPROVED. 167 StateRgstn rows include 2 TERMREQUEST, which is not in this count. An Alabama office alone does not establish state registration. 64 of these APPROVED firm CRDs also have an Alabama main office in the state compilation. That overlap is not another population.
1,639
NoticeFiled/States/@RgltrCd=AL and @St=FILED. Notice filing is not Alabama state IA registration. Every filed row in this extract is FirmType Registered, not ERA.
21
ERA/Rgltr/@Cd=AL and @St=ACTIVE. An exempt reporting adviser is not an SEC-registered RIA and not a state-registered IA.
98
Accepted SEC/IARD roster, 2026-08-27. Office geography is not Alabama registration or notice filing, and this count was not recomputed as the published figure from the 2026-09-17 compilation. A separate MainAddr recount on that compilation is also 98 and stays on its own clock.
Exact firm-CRD intersections from the 2026-09-17 jurisdiction filters, kept separate: state IA APPROVED ∩ notice FILED 0; state IA ∩ ERA 0; ERA ∩ notice 0. The accepted principal-office overlay has no CRD list in this publication, so it is not intersected here. Exact SEC-file intersections: NOT_ACQUIRED. No national adviser population was duplicated. IAPD state compilation · IAPD SEC compilation
ASC lists broker-dealer and broker-dealer agent filings separately from investment adviser representative filings. FINRA BrokerCheck and IAPD are additional firm or person research paths. Alabama-only bulk broker-dealer, agent and IAR rosters are NOT_ACQUIRED. A person CRD is not a firm CRD. An investment adviser representative is not a firm.
The ASC administrative-actions page groups documents by year folder. This publication read the 2025 and 2026 folders: 4 documents in 2026 and 29 in 2025, 33 index rows. Older year folders on that page were NOT_ACQUIRED. Missing older years are not zero. Source action tags partition those rows and are not findings:
A cease-and-desist is not a final adjudication. A consent order keeps the source label consent order. Respondent text was not stored and was not joined to a firm or person. PDFs were not downloaded. Exact adverse attachments: 0; name-only adverse joins: 0.
ASC publishes an Auditing Division page. Examination capability is KNOWN; provider-level exam rows and outcomes are NOT_ACQUIRED. The commission publishes a complaint procedure. Complaint intake is KNOWN; provider complaint rows are NOT_ACQUIRED and outcomes are REQUEST_ONLY / NOT_ACQUIRED. A complaint is not an enforcement finding.
Accepted national principal-office roster: 2026-08-27, retrieved 2026-08-28. IAPD jurisdiction filters: 2026-09-17, filtered 2026-10-05. ASC index reviewed 2026-10-05. Snapshot generated 2026-10-05. There is no universal Alabama securities as-of date.
ASC bulk registration, broker-dealer, agent and IAR rosters, older administrative-action folders, exact SEC-file intersections, provider exam rows and complaint outcomes: NOT_ACQUIRED. Existing canonical matches were not re-read from the firm spine, so spine membership of the 165 APPROVED state-IA firm CRDs stays unresolved. Net-new canonical firms created: 0. Graph writes: 0. Claim eligibility changes: 0. Birmingham, Montgomery, Huntsville, Tuscaloosa, and Mobile, Alabama stay statewide. No county or city pages, scores or adviser ranking.