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.)
- Use IIROC's Search Disciplinary Cases tool for disciplinary information on current or former regulated individuals.
- IIROC's Unpaid Fines Report identifies regulated individuals who have not paid the full amount of a fine, disgorgement, and/or costs order imposed as a result of enforcement proceedings before an IIROC Hearing Panel.
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?
If a former advisor/registrant no longer works for an investment firm regulated by IIROC their name will not be linked to an AdvisorReport. The individual may have left the industry or been permanently banned by IIROC. Information about all former advisors/approved persons who were the subject of a disciplinary action permanently remains on IIROC’s website – that information is not expunged. If you want to learn about a former advisor/registrant and/or former firm that was disciplined by IIROC, you can Search Disciplinary Cases for details about the enforcement action.
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.
Like to do a broader search?
Try the CSA's Disciplined Persons List (includes multiple regulators).
IIROC Advisor Report
Be sure to enter the individual’s last name precisely. Please beware of homonyms (Lee/Li), compound names (Smith Jones or Smith-Jones) and ignore suffixes (Jr. III).
- If you’re not sure of the precise firm name or can’t find it on the dropdown member list then leave it out and just search by the name of the individual.
- You may have problems searching if you have not enabled ‘Cookies’ and Pop-ups’ on your computer.
- You may get numerous possible matches when you search for a name. Review them closely to make sure you have the correct result.
- Remember, if you are searching for someone who is not a current IIROC registrant but was registered in the past, visit IIROC’s Search Disciplinary Cases to search a larger database.
- If you are searching only for a firm’s disciplinary history, vist the same Search Disciplinary Cases to search for all cases related to one registered firm.