Registration helps protect you!
Verifying registration is the first step to take before investing.
If you discover the person or company you are dealing with is not registered, or is offering you something they don’t seem permitted to, contact your local securities regulator.
Investment Dealers are regulated by the Investment Industry Regulatory Organization of Canada (IIROC). For further information on an IIROC–regulated advisor's background, qualifications and discipline history, use IIROC's AdvisorReport.
Historical Registration Information
To view historical information or registration information with respect to individuals or firms that are no longer registered, you can select to "include Historical Registration Information" in your detailed search. Registration information on this site is limited to going back to September 28, 2009 at which time the registration regime was reformed and harmonized across Canada. For registration information prior to that date, contact your local regulator.
Checking registration is an important first step in making an informed decision. Use the “Check Before You Invest” workbook to record your registration search results when choosing or working with a firm or individual.