Search and Results Tips
You can search for registrants by individual name; individual and firm 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 March 14, 2003. Historical information from the BC Securities Commission dates back to 1981.
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.
Status information is related to categories of registration. Registrants can have active, suspended, historical, or historical prior to September 28, 2009 statuses or a combination.
Part 6 Suspension and revocation of registration – individuals and Part 10 Suspension and revocation of registration – firms in National Instrument 31-103 Registration Requirements and Exemptions outline the process of suspending and revoking registration. National Instrument 31-103 is available on various CSA members’ websites.
Terms and conditions
Historical registration conditions for companies and individuals are not available through the National Registration Search.
Registration conditions for companies and individuals registered in Quebec are not available through the National Registration Search.
Narrow your search
You can limit your search to registrants from particular jurisdictions, with specified registration categories and for defined registration dates.
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 are registered as and permitted to do. The category options for firms specify what products their representatives are permitted to advise on or sell.
Full category details are listed in Part 2 Categories of registration for individuals and Part 7 Categories of registration for firms in National Instrument 31-103 Registration Requirements and Exemptions. National Instrument 31-103 is available on various CSA members’ websites.
Click on the calendar icons to select a date range. The date restriction searches the date when registrants were first registered. Registrants may have multiple registration dates if they are registered in multiple categories.
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