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Know Your Advisor / The IIROC AdvisorReport



IIROC’s starting place for investors to make informed decisions. Research the background, qualifications and disciplinary information on advisors at IIROC-regulated firms by generating an IIROC AdvisorReport.



Before you start

    Are you searching in the right place?
    Don’t know the name of the firm?
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Advisors may have other certifications or designations that may not be in this database.  If you are interested in learning more about an advisor’s certifications, visit Understanding Financial Certifications to use IIROC’s online Glossary of Financial Certifications.

 


  

Firm is not on the regulated dealer list? Click on Search Outside IIROC for some options for where you can continue your research.

 

Advisor is no longer employed by an IIROC-regulated firm? Search results include former approved persons but IIROC AdvisorReports are not available for these individuals. Use our Search Disciplinary Cases tool for information on former registrants or for any disciplinary information on current or former member firms.

 

You can also search the CSA’s National Registration Search database. The National Registration Search is a web-based tool that provides information about individuals and firms registered with securities regulatory authorities in Canada.

 

Like to do a broader search? Try the CSA's Disciplined Persons List (includes multiple regulators).

 

 

 

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