IIROC’s starting place for investors to make informed decisions. Research the background, qualifications and disciplinary information on advisors at IIROC-regulated firms by generating an IIROC
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. The advisor’s firm must be regulated by IIROC. Check the full member firm
Don’t know the name of the firm?
You can still search using only the name of the advisor.
Firm is not on the regulated dealer list?
Search Outside IIROC
for some options for where you can continue your research.
Advisor is no longer employed by an IIROC-regulated firm?
Consolidated Enforcement Actions
for information on former registrants or for any disciplinary information on current or former member firms.