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Search for an Advisor Report

This tool will allow you to look up the name of an investments advisor and see:

  • Whether they are currently or formerly regulated by IIROC
  • Their approval categories, what provinces they can work in, and any terms or conditions on their license
  • Former firms they have worked with
  • Industry courses they have taken, and
  • Any regulatory disclosures of disciplinary actions they have been a party to.

Details on an advisor license and regulation history with IIROC is only available for currently regulated members. To look up an enforcement action against a formerly regulated member, search for them on our enforcement page.

Can’t find what you’re looking for?

Not sure if you are looking in the right place? Maybe you’re looking for a dealer name instead, or need to know if they are still regulated by IIROC? Follow the link below for other resources and search tips. 

Other Search Resources
Required*
Enter the individual's last name.
Optional: Narrow your results
Enter the individual's first name, or the first few letters of their first name.
Look up the firm the individual works at by typing in the field or selecting from the dropdown.

Welcome to CIRO.ca!

We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.

You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.

You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).

We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.

Visit the Canadian Investment Regulatory Organization website