FAQs

How do I find out if my dealer or adviser is registered?


In general, anyone who sells securities in Ontario or provides advice about investing in securities must be registered with the OSC. There are different categories of registration that may limit what a dealer or adviser may do.

You can check registration or contact the OSC to find out if a person or company is registered and in which category.

While we cannot give an opinion on whether a registered individual or company is reputable, we can tell you if they have ever been disciplined by the OSC.

You can also find disciplinary-related information about members of:

  • the Investment Industry Regulatory Organization of Canada on the IIROC website
  • the Mutual Fund Dealers Association of Canada on the MFDA website