Looking up an Investment Advisor or Firm

Make sure an investment advisor is registered with IIROC by searching the AdvisorReport.

The report lets you research the qualifications and the background of advisors registered with IIROC, including if they have been disciplined. 

To check if a firm is regulated by IIROC, you can search this directory.

You can also Search Disciplinary Cases for disciplinary information on current or former IIROC-regulated firms and 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.

Other regulatory organizations have their own online services that let you search for registration status and disciplinary records.

You can find some of those links here.