Dealers We Regulate

All firms and their registered representatives that are in the business of advising on or trading in securities in Canada must be members of IIROC and follow IIROC rules for business conduct, financial operations and trading practices. 

IIROC oversees approximately 174 firms and their 31,000 registered representatives.

We refer to the firms that we regulate as IIROC Dealer Members. 

For more information on suspended Dealer Members, read the related notices on:

For more information on Dealer Members subject to Terms and Conditions, please click on the following:

Terms and conditions listed on the IIROC Website are with regards to current terms and conditions imposed on a Dealer Member’s membership.

For information on any terms and conditions that may be imposed on a Dealer Member’s registration, please see the National Registration Search database provided by the Canadian Securities Administrators at CSA National Registration Search.

IIROC Dealer Members by Peer Group

Dealers we regulate

Organization Name Address
Acker Finley Inc.

181 University Avenue
Suite 1400
Toronto ON M5H 3M7

416-777-9005

www.ackerfinley.com

Acumen Capital Finance Partners Limited

500 - 4th Ave. SW
Suite 800
Calgary AB T2P 2V6

403-571-0300

www.acumencapital.com

AGF Securities (Canada) Limited

66 Wellington Street West
Suite 3100
Toronto ON M5K 1E9

416-865-4176

www.agf.com

Aligned Capital Partners Inc.

1001 Champlain Avenue
Suite 300
Burlington ON L7L 5Z4

905-639-5115

www.alignedcapitalpartners.com

Argosy Securities Inc.

1725, 16th Avenue
Suite 101
Richmond Hill ON L4B 0B3

905-709-7066

www.argosysecurities.com

Arton Investments

1 Westmount Square
Suite 1110
Montréal QC H3Z 2P9

514-935-9333

www.artoninvest.com

Assante Capital Management Ltd.

199 Bay Street
Suite 2700
Toronto, ON M5L 1E2

416-348-9994

www.assante.com

ATB Capital Markets Inc.

#410, 585 - 8th Avenue SW
Calgary AB T2P 1G1

403-539-8600

www.atbcapitalmarkets.com

ATB Securities Inc.

2100, 10020 100 Street NW
Edmonton AB T5J 0N3

780-408-7284

www.atb.com

AURAY Capital Canada inc.

600, rue de la Gauchetière Ouest
Bureau 2740
Montréal QC H3B 4L8

514-499-8440

www.auray.com