Securities

TO ALL BROKER-DEALERS REGISTERED IN MISSISSIPPI: We do not require the filing of yearly financial statements directly with the Division.

NOTICE OF UPCOMING HEARINGS: None scheduled at this time. 

The Securities Division is responsible for regulating both the sale of securities and the securities professionals who sell them. In addition, the Division works with federal and state prosecuting authorities to investigate and bring charges against violators of the State's securities laws. The Division carries out these functions under the authority granted to it by the Mississippi Securities Act.



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CONTACTS:

For Questions about your Broker-​Dealer or Investment Adviser Registration call:

Ricky Martin
Broker-Dealer and Investment Adviser Licensing and Compliance

125 S. Congress Street
Jackson, MS 39201
P.O. Box 136
Jackson, MS 39205-0136

Phone: 601-359-6367


Cheryn L. Netz

Assistant Secretary of State
Securities Division


125 S. Congress Street
Jackson, MS 39201
P.O. Box 136
Jackson, MS 39205-0136


Phone: 601-359-1334
Fax: 601-359-9070

Email Securities​


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