Alert:
A nationwide postal strike or lockout began on November 15, 2024. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
Looking up an Investment Advisor or Firm
To check if a firm is regulated by CIRO, you can search this directory.
You can also check whether an investment advisor is registered with a CIRO-regulated investment dealer by searching the AdvisorReport.
You can also Search Disciplinary Cases for disciplinary information on current or former IIROC-regulated firms and individuals.
CIRO’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 a CIRO hearing panel.
Other regulatory organizations have their own online services that let you search for registration status and disciplinary records.