Alert:
A nationwide postal strike or lockout may occur as early as November 3, 2024. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
Know Your Advisor: Advisor Report
Before you start...
Are you searching in the right place?
Find out if the individual you’re researching is currently employed by a CIRO-regulated investment dealer. AdvisorReports are only available for advisors currently approved with an investment dealer. (Note: search results include the names of former approved persons but AdvisorReports are not available for these individuals.)
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 CIRO’s online Glossary of Financial Certifications
Firm is not on the regulated dealer list?
Click on Search Outside CIRO for some options for where you can continue your research.
Can I search for any advisor who is registered with an Investment Dealer, Mutual Fund Dealer or both?
AdvisorReports are not available for individuals registered under the Mutual Fund Dealer category. You can search the CSA’s National Registration Search database for information pertaining to individuals registered with a Mutual Fund Dealer and/or firms that are registered as both a Mutual Fund Dealer and Investment Dealer.
Advisor is no longer employed by a CIRO-regulated firm?
If a former advisor/registrant no longer works for an investment firm regulated by CIRO their name will not be linked to an AdvisorReport. The individual may have left the industry or been permanently banned by CIRO. Information about all former advisors/approved persons who were the subject of a disciplinary action permanently remains on CIRO’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 CIRO, 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).
Advisor Report
Search Tips
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 CIRO registrant but was registered in the past, visit CIRO’s Search Disciplinary Cases to search a larger database.
- If you are searching only for a firm’s disciplinary history, visit the same Search Disciplinary Cases to search for all cases related to one registered firm.