InvestorTrustHub · Mississippi
The Mississippi Secretary of State Securities Division regulates securities activity in Mississippi. State investment adviser registration, notice filing, exempt reporting advisers, investment adviser representatives, broker-dealers, and agents are separate classes. Registration is reported source status, never an endorsement.
State IA, federal notice, ERA and principal-office geography are distinct firm-CRD lenses. They cannot be summed. Counts below use regulator jurisdiction code MS, not a main-office address. APPROVED and FILED are IAPD status text, not a quality judgment.
67
StateRgstn/Rgltr/@Cd=MS and @St=APPROVED. This extract has 67 StateRgstn rows, and every one is APPROVED. An office in Mississippi does not by itself establish state registration. 14 of these APPROVED firm CRDs also have a Mississippi main office in the state compilation. That overlap is not another population. 1 firm record has a Mississippi main office without a Mississippi StateRgstn or ERA row. That address is not a registration.
1,199
NoticeFiled/States/@RgltrCd=MS and @St=FILED. Notice filing is not Mississippi state IA registration. Every filed row in this extract is FirmType Registered, not ERA.
3
ERA/Rgltr/@Cd=MS and @St=ACTIVE. An exempt reporting adviser is not an SEC-registered RIA and not a state-registered IA.
35
Accepted SEC/IARD roster, 2026-08-27. Office geography is not Mississippi 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 35. Equal counts were not intersected and are not the same firms.
Exact firm-CRD intersections from the 2026-09-17 jurisdiction filters, kept separate: state IA APPROVED and notice FILED 2; state IA and ERA 0; ERA and 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
FINRA BrokerCheck and IAPD are additional firm or person research paths. Mississippi-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 Secretary of State enforcement search is public. Order rows were NOT_ACQUIRED. The first result page is not a census. A cease-and-desist is not a final adjudication. Respondent names were not stored and were not joined to a firm or person. Exact adverse attachments: 0; name-only adverse joins: 0.
The division publishes a complaint form. Complaint intake is KNOWN. Provider complaint rows and outcomes are NOT_ACQUIRED. A complaint is not an enforcement finding. Provider examination rows are NOT_ACQUIRED.
Accepted national principal-office roster: 2026-08-27, retrieved 2026-08-28. IAPD jurisdiction filters: 2026-09-17, filtered 2026-10-05. Enforcement search reviewed 2026-10-05. Snapshot generated 2026-10-05. There is no universal Mississippi securities as-of date.
Secretary of State bulk registration, broker-dealer, agent and IAR rosters, the securities order corpus, 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 67 APPROVED state-IA firm CRDs stays unresolved. Net-new canonical firms created: 0. Graph writes: 0. Claim eligibility changes: 0. Jackson, Gulfport, and Biloxi stay statewide. No county or city pages, scores or adviser ranking.