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AdvisorReport FAQ



Please note that in this report and in this section of the IIROC website, we have used the general term ''advisor' to refer to a number of official regulatory approval categories such as Registered Representative and Investment Representative. ''Advisor'' is not an official IIROC approval category for individuals working at IIROC-regulated firms. ''Advisor'' is also not being used to represent an official registration category.

    Q. I am getting no search results. Why?
    Q. What is the primary purpose of the IIROC AdvisorReport search service?
    Q. Is there any cost or restrictions on use to use the IIROC AdvisorReport search service?
    Q. What information does the report provide about IIROC disciplinary actions involving a particular advisor?
    Q. What's the full range of information I can expect to find in an IIROC AdvisorReport?
    Q.What should I do if I want to search for all the disciplinary actions involving a IIROC-regulated dealer firm, rather than a specific individual?
    Q. Where does the information in the IIROC AdvisorReport come from and how often is it updated?
    Q. How far back does the information in the IIROC AdvisorReport database go?
    Q. I'm curious to know what my advisor is qualified to do.
    Q. I checked IIROC’s member firm list for a firm that appeared in the search results of the AdvisorReport but the firm does not appear on the list. Why?
    Q. The advisor is no longer approved with an IIROC-regulated firm. Can I still generate an AdvisorReport for the individual?






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