Please be advised that the website will be temporarily unavailable due to scheduled maintenance beginning at 5:00 PM ET on Tuesday, December 31, 2024. The site will be available beginning at 8:00 AM ET on Thursday, January 2, 2025. We apologize for any inconvenience, please plan any filings or transactions on the Securities Portal accordingly.
Important: The NASAA Electronic Filing Depository (EFD) System will be offline and unavailable to all filers and regulators from 12:00:00 am ET January 1, 2025, through 9:00:00 am ET January 6, 2025. If this dating coincides with your Regulation D Filing, please contact the Securities Division by email ([email protected]) or phone (317.232.6681).

Select a Registration Type to begin. The search can further be narrowed by Name, Status or Date. Results will be displayed below. The Registration Search is not an exhaustive list of all registrations that have been filed in the State of Indiana. If a registration does not appear or for any additional questions, please Contact Us.

 

To search BrokerCheck for
Investment Adviser or Broker-Dealer
Firms and/or Individuals:
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To search NMLS Consumer Access for
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and/or associated Individuals:
nmlsconsumeraccess.org