617
Louisiana state IA firm CRDs, APPROVED
StateRgstn/Rgltr/@Cd=LA and @St=APPROVED. 618 StateRgstn rows include 1 TERMREQUEST, which is not in this count. A Louisiana office alone does not establish state registration.
InvestorTrustHub · Louisiana
Louisiana Investment Adviser & Securities Intelligence
The Louisiana Office of Financial Institutions, Securities Division registers securities offerings and licenses broker-dealers, agents, and investment advisers. The Commissioner of Financial Institutions serves as Commissioner of Securities. That is an officer of this Office, not a separate securities commission. Registration is reported source status, never an endorsement.
Four separate adviser lenses
OFI Securities registers investment advisers. OFI also describes notice-filing investment advisers as a different class. State IA, federal notice, ERA and principal-office geography are distinct firm-CRD lenses. They cannot be summed. Counts below use regulator jurisdiction code LA, not a main-office address. APPROVED and FILED are IAPD status text, not a quality judgment.
3,348
Federal notice firm CRDs, FILED
NoticeFiled/States/@RgltrCd=LA and @St=FILED. Notice filing is not Louisiana state IA registration. Every filed row in this extract is FirmType Registered, not ERA.
14
Active ERA firm CRDs
ERA/Rgltr/@Cd=LA and @St=ACTIVE. An exempt reporting adviser is not an SEC-registered RIA and not a state-registered IA.
84
Louisiana principal-office firms
Accepted SEC/IARD roster, 2026-08-27. Office geography is not Louisiana registration or notice filing, and this count was not recomputed from the 2026-09-17 compilation.
Exact firm-CRD intersections from the 2026-09-17 jurisdiction filters, kept separate: state IA APPROVED ∩ notice FILED 11; 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
Broker-dealers, agents and adviser representatives
OFI describes broker-dealer and agent registration separately from investment adviser and investment adviser representative requirements. FINRA BrokerCheck and IAPD are additional firm or person research paths. Louisiana-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.
OFI securities orders
An OFI administrative-order index was NOT_ACQUIRED. The Securities Division describes enforcement, and criminal-prosecution news is a headline list, not an order corpus. Those headlines were not counted and were not parsed onto CRDs. A cease-and-desist is not a final finding. Missing is not zero orders. Exact adverse attachments: 0; name-only adverse joins: 0.
Examinations and complaints
OFI publishes an examination policy for broker-dealers and state-registered investment advisers. Examination capability is KNOWN; provider-level exam rows and outcomes are NOT_ACQUIRED. The division accepts written securities complaints. Complaint intake is KNOWN; provider complaint rows are NOT_ACQUIRED and outcomes are REQUEST_ONLY / NOT_ACQUIRED. A complaint is not an enforcement finding.
Source clocks and gaps
Accepted national principal-office roster: 2026-08-27, retrieved 2026-08-28. IAPD jurisdiction filters: 2026-09-17, filtered 2026-10-05. OFI pages reviewed 2026-10-05. Snapshot generated 2026-10-05. There is no universal Louisiana securities as-of date.
OFI bulk registration, broker-dealer, agent and IAR rosters, the administrative-order corpus, exact SEC-file intersections, provider exam rows and complaint outcomes: NOT_ACQUIRED. New canonical firms: 0. Graph writes: 0. Claim eligibility changes: 0. New Orleans, Baton Rouge, Shreveport and Lafayette stay statewide. No parish or city pages, scores or adviser ranking.