Requesting Public Information
The Securities Division maintains a public register of all registration applications and registration statements and all denial, suspension, or revocation orders. The register is available for public inspection during the Division's normal business hours, between 8:00 A.M. and 4:30 P.M., CT. Copies of any public document, including registration statements, applications, notice filings, or reports are available on request and upon payment of copying charges.
April Odom, Director of Registration
Tennessee Securities Division
500 James Robertson Parkway, 8th Floor
Nashville, TN 37243
Broker-Dealer and Investment Adviser Registration
Registration status, disclosure information, financial statements, and other information regarding agents (individual stockbrokers), broker-dealers (brokerage firms), or investment advisers is available through the Registration Section.
If you know the name or CRD number of a particular firm or individual, we can determine whether that firm or individual has filed with the Division, the dates of the filings, if and when any registrations were approved, and whether there is any disclosure information available. If you do not know a registrant's CRD number, it is helpful to provide the full legal name if possible, the principal place of business (city and state), any other business names (for firms), and the name of the employing firm (for individuals).
You may also access the FINRA (agents and broker-dealers) and SEC (investment advisers) disclosure programs online. These tools can be used to conduct online searches for agents, broker-dealers, investment advisers, and investment adviser representatives.
The Registration Section has the registration status and other information regarding securities offerings. While most securities are required to be registered with the Division, there are several exemptions listed in Section 48-1-103 of the Act. If an issuer is not required to submit filings with the Division, that issuer is responsible for advising investors of the non-filing status of a particular security based upon these exemptions. Please contact the Registration Section for information on self-executing exemptions.
To request information on a particular securities offering, please include as complete a name as possible, as well as the year in which it was being offered in Tennessee. The majority of securities offerings filed with the Division are paper filings, and the Division maintains a register of all filings that have ever been made effective.
In addition to contacting us, you may also access the SEC's EDGAR database. This tool is useful in conducting online searches for securities offerings and related documents.