This tool will allow you to look up the name of an investments advisor and see:
- Whether they are currently or formely 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 diciplinary 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 formely 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.