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Indiana Securities Division

Securities Division > Search the Database Search the Database

When it comes to protecting your hard-earned savings, you can never be too careful. Before working with a loan broker or investing with a broker-dealer or investment adviser, it’s important to do your homework. Listed below are databases you can use to check the licensing and registration of individuals and/or firms in the financial services industry. Taking time to do this research could save you in the long run and help you avoid falling victim to fraud.

For explanations of these terms, visit the What's What in the Financial Services Industry section.

As you conduct your searches, if an individual or firm does not appear in the database, call the Indiana Securities Division at 1-800-223-8791.

Broker-Dealer Firms and Agents

Broker-Dealers are people or firms who buy and sell securities on their own behalf or on the behalf of their clients. Broker-Dealers are licensed through FINRA on the federal level and the Indiana Securities Division on the state level. Using FINRA’s BrokerCheck® database, you can access the following information about broker-dealers:

  • Employment history for individual agents
  • List of exams individual agents have passed to become licensed
  • List of states where the agent or firm is registered
  • List of disclosures such as disciplinary action taken by a state regulator and/or FINRA, criminal charges or convictions, bankruptcies and consumer complaints against agent or firm

How to Search

  1. Go to FINRA’s BrokerCheck®
  2. Click on the blue “Start Search” button
  3. Read through the terms and conditions, check the box stating that you agree and click on the blue “Continue” button
  4. Type in the name of the agent or firm, select the corresponding “Broker” or “Brokerage Firm” button below and click on the blue “Start Search” button
  5. A list of search results will come up. Carefully read through the list as there may be multiple agents and/or firms with similar names. Click on the appropriate name to view the report.
  6. You will see a summary report for the agent or firm. To view the complete report, click on the blue “View Full PDF Report” button in the top right corner of the page

Investment Adviser Firms

Investment Adviser Firms give investment advice and sell securities; investment adviser representatives are individuals who work for these firms. The SEC regulates firms managing more than $25 million in assets; all other firms are regulated by the Indiana Securities Division. Using the SEC’s Investment Adviser Search, you can access the following information about investment adviser firms:

  • Registration application and status (i.e. approved, suspended, revoked)
  • List of disclosures such as disciplinary action taken by a state regulator and/or the SEC and criminal charges or convictions
  • List of states the firm is registered in

Using the search, you will also find the following information about the individual investment adviser representatives: customer complaints, criminal or regulatory disclosures, professional qualifications, exam information and employment history.

How to Search

  1. Go to the SEC’s Investment Adviser Search
  2. Choose Investment Adviser Representative (IAR) to search for an individual or Investment Adviser Firm to search for a company
  3. For Investment Adviser Representative searches:
    • Type in the name of the individual or their CRD number if you know it.
    • A list of search results will come up. Carefully read through the list as there may be multiple representatives with similar names. Click on the appropriate name to view the report.
    • To view a full report, including a list of exams the IAR has taken and the states where they are registered to practice, click on “View Detailed Report” in the top right corner.
  4. For Investment Adviser Firm searches:
    • Type in the name of the firm and click on the grey “Go” button
    • A list of search results will come up. Carefully read through the list as there may be multiple firms with similar names. Click on the appropriate name to view the report.
    • You will see the application for registration with the firms responses listed in red text. On the left side of the page is a menu that allows you to jump to certain parts of the application. The following sections are important to look at:
      Registration Status: this page lists the status of the application (i.e. approved, suspended, revoked) as well as states  the firm  is registered in
      Part 1A Item 11 Disclosure Information: this page lists any disciplinary action taken by a state regulator and/or the SEC and criminal charges or convictions
    • To view the complete application, click on “View All Pages” in the menu.

Loan Broker Firms and Originators

Loan brokers (firms) and loan originators (individuals) act as a liaison bringing together a lender and a prospective borrower for a fee. Loan broker firms and originators are regulated by the Indiana Securities Division. Using the Nationwide Mortgage Licensing System database, you can access the following information about loan brokers:

  • License number and expiration date of the firm
  • Address of the firm
  • List of originators at the firm
  • License number and expiration date of originator and principal manager

How to Search

  1. Go to the NMLS Consumer Access website
  2. Type in the name of the firm or individual and click
    1. For best results, enter the full NMLS ID or License Number to search for a Company or Individual
    2. If you do not know the NMLS ID or License Number, you also may search by Name, City, State and/or Zip Code. Use multiple search terms (e.g., Company Name and Zip Code) to increase the likelihood the Company or Individual you are searching for will appear on the first page of search results
  3. Read through the terms and conditions, check the box stating that you agree and then enter the information from the blue verification box then click on the yellow “Continue” button
  4. A list of search results will come up. Carefully read through the list as there may be multiple companies or individuals with similar names or ID numbers. Click on the appropriate name to view the report
  5. You will see a summary report for the company or individual

Collection Agencies

Collection agencies solicit and collect claims owed or due to another. Collection agencies are regulated by the Indiana Securities Division. Using the Nationwide Mortgage Licensing System database, you can access the following information about collection agencies:

  • License number and expiration date of the firm
  • Address of the firm
  • Information on any regulatory actions
  • Additional information on the firm

How to Search

  1. Go to the NMLS Consumer Access website
  2. Type in the name of the firm or individual and click
    1. For best results, enter the full NMLS ID or License Number to search for a Company or Individual
    2. If you do not know the NMLS ID or License Number, you also may search by Name, City, State and/or Zip Code. Use multiple search terms (e.g., Company Name and Zip Code) to increase the likelihood the Company or Individual you are searching for will appear on the first page of search results
  3. Read through the terms and conditions, check the box stating that you agree and then enter the information from the blue verification box then click on the yellow “Continue” button
  4. A list of search results will come up. Carefully read through the list as there may be multiple companies or individuals with similar names or ID numbers. Click on the appropriate name to view the report
  5. You will see a summary report for the company or individual

Administrative Actions

The Securities Division seeks to protect Hoosiers by taking administrative action against individuals and firms who violate the Securities Act and Loan Broker Act. Using the Administrative Action Search, you can view a listing of administrative actions for 2009. You can also search for actions taken against a specific person or firm.

How to Search

  1. Go to Administrative Action Search
  2. Click on the “Search” link in the top left corner of the page
  3. Type the name of the person or firm in the “Respondents” field. Fill in the other fields to the best of your ability. Click on the grey “Search” button
  4. A list of search results will come up. Carefully read through the list as there may be multiple individuals or firms with similar names.
  5. Click on the appropriate PDF file to view the administrative action

Business Services Entity Search

The Business Services Division administers all business-related responsibilities for the Secretary of State including the chartering of new businesses, the filing of commercial liens, and the issuance of trademarks, notaries public and summonses. Using the Business Services Entity Search, you can verify that a company is on file with the State of Indiana.

How to Search

  1. Go to Business Services Entity Search
  2. Type in the business name and select your search option – “either full word search” or “partial word search.” Click on the blue “Submit” button
  3. A list of search results will come up. Carefully read through the list as there may be multiple entities with similar names. Click on the appropriate entity name.
  4. You will see a summary report for the entity including the address, type, creation date and the date it went inactive (if applicable).

*If you are searching for a loan broker, broker-dealer or investment adviser firm and it does not appear in the database, contact the Indiana Securities Division at 1-800-223-8791.