Search and Results Tips
You can search for registrants by individual name or firm name. Select the individual search type to find registered individuals and the firm search type to find registered firms.
Registration information is retrieved from the National Registration Database (NRD) and dates back to September 28, 2009.
Please contact your local securities regulatory authority if you have any questions or to report errors and omissions. Although we try our best to ensure the information in the National Registration Database is complete, accurate and current, this may not always be the case.
Disciplined Persons List
The National Registration Search will show information about registrants that are on the Disciplined Persons List. If the registrant has information derived from the Disciplined Persons List, a link and summary of the disciplinary action will be displayed.
Note that the CSA presents the information on the Disciplined Persons List as a plain language summary of information found in publicly available documents. The category descriptions provided therein are for the convenience of the reader only. You should review the supporting documents for the full conditions and context of all decisions, orders, and sanctions.
Terms and conditions
Based on the legal framework in Québec, certain terms and conditions are not shown. For more information, please contact l’Autorité des marchés financiers.
You can limit your search to registrants from particular jurisdictions and with specified registration categories.
Selecting one or more jurisdictions limits your search to individuals or firms registered with the securities regulatory authority in the specified province or territory.
The category options for individuals specify the roles individuals can performed and the activity they are permitted to do. The category options for firms specify what products their representatives are permitted to advise on or sell.
Historical Registration Information
By default, only a registrant's “current active registration” will be included in your search results. 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 Inforation in your detailed search.
Advanced search features
Enter two or more words in “quotes” in the firm name search box to find the exact firm name
- Searching "capital management" will find firm records that contain the exact name capital management
Separate search names with OR to find either term
- Searching megan or meghan will find individual records that contain megan or meghan
- Searching equity or equities will find firm records that contain equity or equities
Use NOT to exclude terms from the results
- Searching fidelity not intermediary will find firm records that contain fidelity in the name, but not intermediary
Use an asterisk * to search for unknown letters at the end of individual or firm names
- Searching ann* will find anne, anna, anne, annette, annick, annie, and anny
- Searching corp* will find corp., and corporation