Delaware Securities Division

Delaware securities registration evidence

Delaware Department of Justice Securities Division registration source map. State investment advisers, federal notice filings, exempt reporting advisers, investment adviser representatives, broker-dealers, agents, branches, and enforcement records are separate populations.

Official source map checked October 12, 2026. Current dated IARD/CRD Delaware jurisdiction snapshots and reconciled rows were not acquired for this publication: NOT_ACQUIRED. This is not zero and does not imply no registrants.

Regulatory populations stay separate

Delaware state investment adviser: firm registration under state jurisdiction.
Federal covered adviser / notice filing: SEC registration and state notice filing are separate from state adviser registration.
Exempt reporting adviser: reporting status, not SEC-registered IA status or state registration by itself.
Investment adviser representative: person population, distinct from adviser firms.
Broker-dealer: firm population, distinct from agents.
Agent: person registration, not a broker-dealer firm.
Branch offices: separate office filings where source-defined; not firm or person counts.
Orders and enforcement: dated proceedings; no adverse identity join by name alone.

Registration depends on regulator jurisdiction and filing status. Principal-office location alone does not establish Delaware registration. No combined securities census or rating is published.

Regulator and verification sources

The Delaware Securities Act identifies distinct adviser, federal covered adviser, broker-dealer, agent, and representative filing classes. IAPD and BrokerCheck assist with identity review but do not replace a dated Delaware jurisdiction snapshot. Current row counts and source clock for jurisdiction data: NOT_ACQUIRED.