Arkansas Securities Department

The Department strives to protect the financial well-being of Arkansas citizens through the effective enforcement of various statutes which regulate several segments of the financial services industry -- issuers of securities, securities brokers, investment advisers, state chartered credit unions, state chartered savings and loans, mortgage lenders, loan brokers, money transmitters, and currency exchangers. At the same time, the Department strives to balance this protective function against the need for the financial and capital markets to function efficiently and without unnecessary regulatory impediments. The Department administers the various statutes by registration or licensing of the financial service providers, by examination of financial records and information submitted to the Department, by on-site examination of those providers physically located in the state, and by investigation of complaints from the general public of misconduct or unlicensed activity.

The Investment Advisor Licensee Directory Search is an online tool provided by the Arkansas Securities Department that allows users to search for investment advisor firms and individual investment advisors registered in the state of Arkansas. The directory provides information about the registered firms and advisors, including their contact details and registration status. This tool can be used by investors and financial professionals to verify the registration status of investment advisor firms and advisors before engaging in financial transactions with them.