North Dakota Insurance and Securities Department

North Dakota securities registration evidence

North Dakota securities registration evidence from dated IAPD jurisdiction feeds, with state advisers, federal notice filings, ERAs, IAR persons, broker-dealers, agents, and enforcement kept separate.

Official North Dakota regulator and SEC IAPD compilation feeds checked October 14, 2026. Counts below use IAPD regulatory-jurisdiction fields. Principal-office geography is not used to infer North Dakota registration.

IAPD adviser and representative jurisdictions

State investment advisers, federal covered adviser notice filings, exempt reporting advisers, and investment adviser representatives are different regulatory populations. A firm CRD is not a person CRD, and these counts are not added together.

44

State IA firms, source status APPROVED

IAPD StateRgstn jurisdiction ND: 44 rows, 44 distinct firm CRDs, all source status APPROVED.

920

Federal covered adviser notice firms, FILED

IAPD NoticeFiled jurisdiction ND: 920 filing rows and 920 distinct firm CRDs. A state notice filing is not state IA registration.

3

ERA firms, ACTIVE

IAPD ERA jurisdiction ND: 3 rows and 3 distinct active firm CRDs. ERAs are a separate reporting category.

1,888

IAR persons, APPROVED

IAPD individual current-registration jurisdiction ND: 1,916 rows (1,900 APPROVED and 16 APP_PEND_IARCE), representing 1,888 distinct person CRDs whose source status is APPROVED. Pending rows are not counted as approved.

Exact firm-CRD intersections in the same feed date: APPROVED state IA ∩ FILED notice 1; ACTIVE ERA ∩ FILED notice 0; APPROVED state IA ∩ ACTIVE ERA 0. Intersections show shared firm identifiers across classifications; they are not extra firms and do not make the categories mutually exclusive.

IAPD State IA feed: IA_FIRM_STATE_Feed_10_14_2026.xml.gz; SHA-256 3B0D6FC23CB8A1C0077F8FACEAD179114E245F10F73E15AEA68FE314D6B46954.
IAPD SEC notice/ERA feed: IA_FIRM_SEC_Feed_10_14_2026.xml.gz; SHA-256 90B88F8713D471F759FFC2663031FB476A0FD263B9004CC04E647E0A9ED4404F.
IAPD individual feed: IA_INDVL_Feed_10_14_2026.xml.zip; SHA-256 6E272CF6425143B4856730D4BFEDEE37134F3596555EB387B3892E4C45C0C4EA.

Broker-dealers, agents, and securities actions

North Dakota requires broker-dealers and securities agents doing business with North Dakota investors to register unless an exemption applies; broker-dealer firms and agent persons are separate CRD populations. Current ND CRD broker-dealer and agent roster rows were NOT_ACQUIRED. This page does not infer registration from a firm address.

The Department publishes securities enforcement actions. A bounded row-level order and enforcement corpus was NOT_ACQUIRED. Orders were not joined to adviser firms, broker-dealers, agents, or IARs by name alone. Missing action records do not mean there were no actions.

Registration is not endorsement or a trust rating. No North Dakota professional or firm is ranked, rated, or assigned a Trust Score here.

IAPD status labels such as APPROVED, FILED, and ACTIVE are reproduced as feed statuses; they are not SEC or Department endorsements.

Official sources and source clocks

The IAPD state and SEC firm compilation feeds and individual feed were retrieved October 14, 2026. State IA uses StateRgstn/Rgltr/@Cd=ND; federal notice uses NoticeFiled/States/@RgltrCd=ND; ERA uses ERA/Rgltr/@Cd=ND; IAR persons use current registration authority ND. Counts are feed observations at the displayed statuses, not principal-office counts. Broker-dealer, agent, and order populations remain NOT_ACQUIRED.