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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.

MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on www.mfda.ca and www.iiroc.ca.

Visit the New Self-Regulatory Organization of Canada website