National Registration Search
Search and Result Tips
Search and Result Tips
You can search for registrants by individual name or firm name or firm NRD number. Select the individual search type to find registered individuals and the firm search type to find registered firms.
Registration information on this site goes back to September 28, 2009 at which time the registration regime was reformed and harmonized across Canada. For registration information prior to that date, contact your local securities regulator. Checking registration is an important first step in making an informed decision. Use the “Check Before You Invest” workbook to record your registration search results when choosing or working with a firm or individual.
Please contact your local securities regulatory authority if you have any questions or to report errors and omissions. Although we try our best to ensure the information in the National Registration Database is complete, accurate and current, this may not always be the case.
Disciplined List
The National Registration Search will show information about registrants that are on the Disciplined List.
If the registrant has information derived from the Disciplined List, a link and summary of the disciplinary action will be displayed.
Note that the CSA presents the information on the Disciplined List as a plain language summary of information found in publicly available documents.The category descriptions provided therein are for the convenience of the reader only. You should review the supporting documents for the full conditions and context of all decisions, orders, and sanctions.
Terms and conditions
Based on the legal framework in Québec, certain terms and conditions are not shown. For more information, please contact l’Autorité des marchés financiers.
Detailed Search
You can limit your search to registrants from particular jurisdictions and with specified registration categories.
Other and/or Previous Name(s)
The information displayed under “Other and/or Previous Name(s)” refers to any names other than the current full legal name of a registrant (for example: nicknames or name changes due to marriage). Additionally, it will display any name the registrant has ever used, operated under, or carried on business under (for example: trade names for sole proprietorships or team names).
Firm NRD Number
As of November 9, 2016, the NRD numbers of firms will be displayed on the National Registration Search.
Canadian Investment Regulatory Organization (formerly New Self-Regulatory Organization of Canada)
Canada’s provincial and territorial securities regulators have recognized the New Self-Regulatory Organization of Canada (New SRO) effective January 1, 2023. The New SRO subsequently changed its name to the Canadian Investment Regulatory Organization (CIRO) on June 1, 2023. CIRO consolidates the functions of the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA). CIRO regulates mutual fund dealers, investment dealers and acts as the regulation services provider for marketplaces that have retained it as such, including monitoring trading on those marketplaces for compliance with CIRO rules and securities legislation.
Prior to January 1, 2023, IIROC was the national self-regulatory organization that oversaw all investment dealers and trading activity on debt and equity marketplaces in Canada.
Prior to January 1, 2023, the MFDA was the self-regulatory organization for Canadian mutual fund dealers.
Jurisdiction
Selecting one or more jurisdictions limits your search to individuals or firms registered with the securities regulatory authority in the specified province or territory.
Category
The category options for individuals specify the roles individuals can performed and the activity they are permitted to do. The category options for firms specify what products their representatives are permitted to advise on or sell.
Historical Registration Information
By default, only a registrant's “current active registration” will be included in your search results. To view historical information or registration information with respect to individuals or firms that are no longer registered, you can select to "include Historical Registration Information" in your detailed search.
Advanced search features
Enter two or more words in “quotes” in the firm name search box to find the exact firm name
- Searching "capital management" will find firm records that contain the exact name capital management
Separate search names with OR to find either term
- Searching megan or meghan will find individual records that contain megan or meghan
- Searching equity or equities will find firm records that contain equity or equities
Use NOT to exclude terms from the results
- Searching fidelity not intermediary will find firm records that contain fidelity in the name, but not intermediary
Use an asterisk * to search for unknown letters at the end of individual or firm names
- Searching ann* will find anne, anna, anne, annette, annick, annie, and anny
- Searching corp* will find corp., and corporation