Maine Office of Securities

Maine securities registration evidence

Maine Office of Securities licensing and registration source map. State investment advisers, federal covered advisers, investment adviser representatives, broker-dealers, agents, branch offices, and enforcement records remain separate populations. No combined count or score.

Official source map checked October 12, 2026. Current dated IARD/CRD snapshots and reconciled source rows have not been acquired for publication in this pass: NOT_ACQUIRED. That status is not zero and does not imply no registrants.

Regulatory populations stay separate

Maine state investment adviser: state firm license population.
Federal covered adviser / notice filing: distinct SEC registration and state notice jurisdiction; not a state-registered IA.
Exempt reporting adviser (ERA): separate reporting status; not an SEC-registered investment adviser.
Investment adviser representative (IAR): person population, distinct from adviser firms.
Broker-dealer: firm population, distinct from agents.
Agent: person population filed through CRD, distinct from broker-dealer firms.
Branch office: office filing, not a firm or person.
Orders and enforcement: distinct dated proceedings; an order or consent agreement is not joined by name alone to a licensee.

Maine says BD and agent applications are filed through CRD; adviser applications use Form ADV/IARD. Principal-office geography alone does not establish Maine jurisdiction. No combined total or rating is published.

Regulator and verification sources

For public identity research, use SEC Investment Adviser Public Disclosure (IAPD) and FINRA BrokerCheck. These federal systems are not substitutes for a dated Maine state registration snapshot.