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?
Find out if the individual you’re researching is currently employed by an IIROC-regulated firm. IIROC AdvisorReports are only available for advisors currently approved with an IIROC-regulated firm. (Note: search results include the names of former approved persons but AdvisorReports are not available for these individuals.) Check the full member firm list
Don’t know the name of the firm?
You can still search using only the name of the advisor.
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. Registration information from the Ontario Securities Commission (OSC) is not included in the national registration search, but is available through the OSC Registrant List.
Like to do a broader search?
Try the CSA's Disciplined Persons
List (includes multiple regulators).