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.