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InvestorTrustHub · Tennessee

Tennessee Investment Adviser & Securities Intelligence

The Securities Division of the Tennessee Department of Commerce & Insurance is the state securities regulator under the Tennessee Securities Act of 1983. IARD and CRD are filing infrastructure; IAPD and BrokerCheck are public research tools. None of them is the regulator. A Tennessee state-registered adviser is not an SEC-registered adviser with a Tennessee notice filing, not an exempt reporting adviser, and not simply a firm with a Tennessee office. A representative is a person, not a firm. A broker-dealer is not an investment adviser. Consent Orders and Cease and Desist Orders are separate archives. There is no combined Tennessee adviser total. This page does not rank advisers, give investment advice, or publish a Trust Score.

We organize the evidence. You decide.

Research Tennessee-headquartered SEC/IARD firmsVerify on IAPD

State of the record

IAPD Tennessee state IA · ERA · Notice · Principal office

327

IAPD Tennessee state IA (APPROVED)

Distinct firm CRDs with StateRgstn/Rgltr/@Cd=TN and status APPROVED.

Trace this number

Source. https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_STATE_Feed_09_17_2026.xml.gz

Source date. 2026-09-17

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. state-registered investment adviser firm; registration jurisdiction = TN

Calculation. 328 TN StateRgstn rows: 327 APPROVED, 1 TERMREQUEST (termination requested), 0 CONDREST. Filter is Rgltr/@Cd=TN, not address; 122 of the 328 list a Tennessee main office.

Caveat. Tennessee state IA registration is not SEC registration, not a federal notice filing, not ERA, and not a principal office. TERMREQUEST rows are reported separately; verify current status on IAPD.

38

State ERA

Exempt reporting advisers reporting to Tennessee. Not state-registered IA.

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Source. IA_FIRM_STATE_Feed_09_17_2026

Source date. 2026-09-17

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. ERA/Rgltr/@Cd=TN

Calculation. 38 distinct firm CRDs, all ACTIVE; overlap with Tennessee state IA = 0.

Caveat. An exempt reporting adviser is not a Tennessee state-registered IA and not an SEC RIA.

2,685

Notice

SEC-registered advisers with a Tennessee notice filing. Not state IA.

Trace this number

Source. IA_FIRM_SEC_Feed_09_17_2026

Source date. 2026-09-17

Coverage. ACQUIRED_IAPD_SEC_COMPILATION

Grain. NoticeFiled/States/@RgltrCd=TN and status FILED

Calculation. 2685 distinct CRDs. Exact CRD overlap with APPROVED state IA = 3. 224 notice filers list a Tennessee main office.

Caveat. A notice filing is not Tennessee state IA registration.

264

Principal office

SEC/IARD roster firms with a Tennessee principal office. Not registration.

Trace this number

Source. SEC IARD firm compilation / reconciled roster geography

Source date. 2026-08-27

Coverage. National roster overlay

Grain. SEC IARD roster firm with principal-office region = TN

Calculation. COUNT of roster firms with principal-office region TN = 264. Raw 2026-09-17 compilation MainAddr/@State=TN = 266.

Caveat. A Tennessee principal office is not Tennessee state IA registration and is not a notice filing. These firms already exist in the federal graph.

Representatives, broker-dealers and agents stay separate

Investment adviser representatives register on Form U4 through Web CRD/IARD. A representative is a person; InvestorTrustHub does not publish a Tennessee representative directory, and representatives are never added to firm counts. Broker-dealers and their agents are verified through CRD and BrokerCheck. A Tennessee-only broker-dealer or agent bulk roster was not acquired. The Division's Investment Adviser/Broker-Dealer Check points to the same public tools.

The Division's Consent Orders archive lists 273 orders from 1998 to 2026 (149 since 2012), linking 282 documents; some orders are posted twice (a signed copy and an accessible copy). A listing is not a unique matter: the archive prints no docket number. Relief amounts are not totaled.

2024 to 2026

  • Bigham Wealth Advisory, LLC & Russell Bigham · 2026-09-21 · Consent Order · another copy
  • Trendz Advisors, Inc. & Donald Taylor · 2026-09-09 · Consent Order · another copy
  • Eric T. Daniel · 2026-07-27 · Consent Order · another copy
  • Daryl L. Moore & The Alliance Equity Group, LLC · 2026-07-01 · Consent Order · another copy
  • Shante Davis, Unlocking Wealth$, LLC d/b/a Wealthshare · 2026-07-16 · Consent Order · another copy
  • RocketTrader, Inc d/b/a Quants Compete & Matthew Jones · 2026-06-15 · Consent Order · another copy
  • Kimberly B. Phillips, Daniel L. Earley & Phillips Capital Group · 2026-05-22 · Consent Order · another copy
  • Boulevard Money, LLC & William "Michael" Jones · 2026-05-22 · Consent Order · another copy
  • Perry C. Santillo, Jr., Perry C. Santillo, Jr. d/b/a Lucian Development, LLC & First National Solutions, LLC · 2026-04-20 · Consent Order
  • J ordan Paul McLendon · 2026-04-07 · Consent Order
  • Defining Wealth Partners, LLC & Jacob Gardner · 2026-02-25 · Consent Order
  • Allen & Associates Investment Management, LLC & Brandon Keith Allen · 2026-03-16 · Consent Order
  • Rooks Wealth Advisors, LLC, Larry Rooks & Bradley Rooks · 2026-03-16 · Consent Order
  • Defining Wealth Partners LLC and Jacob Gardner · 2026-02-25 · Consent Order
  • Derrik Jacob Hubbard, dba The Stewardship Solution and Derrik Jacob Hubbard · 2026-02-24 · Consent Order
  • Imagine Financial Security, LLC & Kevin Lao · 2026-01-16 · Consent Order
  • Carty, Harding, & Hearn, Inc. (f/k/a Carty & Company, Inc. · 2026-01-07 · Consent Order
  • Heritage Wealth Management, LLC & Jeffery Jackson · 2025-12-04 · Consent Order
  • Stellar Assets, LLC & John Andrew Wright · 2025-12-02 · Consent Order
  • Catamount Strategic Advisors, LLC & Cobb Sadler · 2025-11-13 · Consent Order
  • True Bullion, LLC d/b/a Gold Silver International Exchange, d/b/a GSI Exchange & Anthony Allen Anderson · 2025-10-22 · Consent Order
  • Optional Financial Strategies Inc. & Joel Alexander Minner · 2025-10-21 · Consent Order
  • SMEAC Financial, LLC & Blake Jackson Cate, Jr. · 2025-09-25 · Consent Order
  • Grogan Advisory Service, LLC & Larry N. Grogan · 2025-09-09 · Consent Order
  • Lattice Wealth Management Advisors, LLC & Kevin Laman · 2025-08-22 · Consent Order
  • Vanguard Marketing Corporation & The Vanguard Group, Inc. · 2025-08-12 · Consent Order
  • Kennedy Wealth Management & Derek Kennedy · 2025-08-12 · Consent Order
  • Benson Wealth Management, Inc. & Barrett Benson · 2025-08-10 · Consent Order
  • Miller Wealth Sports & Entertainment, LLC & Dustin Miller · 2025-07-16 · Consent Order
  • Advipartners, LLC & Michael Davis · 2025-06-24 · Consent Order
  • Strategic Wealth Investments, LLC & Patrick Carmichael · 2025-05-19 · Consent Order
  • Hill Place Advisors, LLC & Janet Vidnovic · 2025-05-22 · Consent Order
  • Vested Wealth, Inc. & Ember Martin · 2025-04-28 · Consent Order
  • A&G Financial Management LLC, & Vincent Giannattasio · 2025-04-24 · Consent Order
  • Chris A. Clark Insurance Services, LLC & Christopher Clark · 2025-04-14 · Consent Order
  • Miser Asset Management, LLC & Derek Alan Miser · 2025-04-10 · Consent Order
  • Roman Wealth Management, LLC & Angelo Edward Roman · 2025-03-31 · Consent Order
  • Summit Premium Plus Fund, LP · 2025-03-17 · Consent Order
  • Masterworks.IO, LLC, et al . · 2025-03-11 · Consent Order
  • Andrew Poe Borden, Stephen Dominic Longo & Solytix Capital, LLC · 2025-03-04 · Consent Order
  • Edward D. Jones & Co., L.P. · 2024-12-27 · Consent Order · exact firm CRD printed in the order: CRD 250
  • Kay Oldham, Abner Bruce Oldham & Abner Bruce Oldham d/b/a Capital Perspectives Investment Management · 2024-11-26 · Consent Order
  • Flood, Bumstead, McCready * McCarthy, Inc., & Roger W. Dunaways, III · 2024-10-28 · Consent Order
  • Samuel Haddix · 2024-08-14 · Consent Order
  • Caelian Capital Strategies, LLC, f/k/a Thomas Wilson & Co., David W. Hill and John F Thomas · 2024-07-31 · Consent Order
  • Payward Interactive, Inc. (Formerly known as Tradestation Crypto. Inc.) · 2024-07-15 · Consent Order
  • WLH Management Co., Inc, & William Louis, Jr . · 2024-07-25 · Consent Order
  • MoneyPro Wealth Management, LLC & Robert Gordon Bailey, Jr. · 2024-07-17 · Consent Order
  • Jeffery Ryan Griswold · 2024-07-02 · Consent Order
  • John A. Poole-Financial Advisor & John A. Poole, Jr. · 2024-04-16 · Consent Order · exact firm CRD printed in the order: CRD 141882
  • Star Credit Holdings, LLC, Satori Credit Solutions, LLC, Numisme, LLC, Ali Raza Galani, Misam Abidi, & Anisha Abidi, & Bank of America National Association and Coinbase Inc. · 2024-03-22 · Consent Order
  • Raymond James & Associates, Inc. & Raymond James Financial Services, Inc . · 2024-02-28 · Consent Order · exact firm CRD printed in the order: CRD 705
  • Robert S. Robbins & Robbins Captila Management, Inc. · 2024-02-19 · Consent Order
  • Blue Owl Credit Income Corp., f/k/a Owl Rock Core Income Corp. · 2024-01-08 · Consent Order
  • Blue Owl Technology Income Corp., f/k/a Owl Rock Technology Income Corp. · 2024-01-08 · Consent Order

Cease and Desist Orders

The separate Cease and Desist Orders archive lists 52 orders from 1998 to 2026 (22 since 2012). Some are ex parte or petition orders. A cease and desist order says what it says; it is not treated here as a final finding, and it is not added to Consent Orders.

2024 to 2026

The Division also publishes 79 Final Administrative Orders and 1 Initial Order as their own archives. They are counted separately and not merged with the lists above.

An order is linked to a firm only when the order itself prints a firm CRD that is a firm in the accepted IAPD compilation, and the firm's IAPD name appears in the order's caption. The name is a check, never the match. For the 63 Consent and Cease and Desist listings from 2024 to 2026, the first posted document was read for printed identifiers. 29 print at least one CRD; most are person CRDs or broker-dealer CRDs outside the adviser feeds, which are counted but not published. 11 are scanned images and were not read. 3 orders link to an adviser firm by exact CRD; 1 printed firm CRD belongs to another firm named in the order and is not linked. Every other order stands alone. Older orders were not read.

Complaints

The Division takes investor complaints through its Securities / Investments complaint form. No provider-level complaint dataset is published, so this page has no complaint count, and none is derived from the order archives. A complaint is not an order or a finding.

What this page does not mean

  • Do not add state IA + ERA + notice + principal office, or advisers + representatives + broker-dealers + agents.
  • Consent Orders, Cease and Desist Orders, Final Administrative Orders and Initial Orders are not one violation count.
  • Nashville, Memphis, Knoxville and Chattanooga are geography, not InvestorTrustHub intelligence routes.
  • Securities offering registrations were not acquired. Missing is not zero.
  • No Trust Score. No AggregateRating. No ranking. No investment advice.