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The National Registration Search tool is best viewed on a desktop computer. Email me a link for later.


Registration protects investors like you from unqualified investment professionals
 
 
Did you know? Securities industry professionals are required to register with the securities regulator in each province or territory where they do business.

This benefits investors of all skill levels, portfolio sizes and investing objectives:

• Beginning and experienced
• DIY’ers working on their own
• Those working with a financial adviser or firm
• Individuals and businesses
 

 

THE NATIONAL REGISTRATION SEARCH TOOL ALLOWS YOU TO

Check Registration

See Current Status

Review
History

Search Disciplinary Actions

Locate by Province



In as little as 10 seconds you can check the status of a financial adviser or firm.



Who Do You Trust?

 

Trust is an important part of all relationships. Most relationships start with it, even in investing.
But when it comes to your personal finances trust alone will not protect you from fraud. You need
to make well-informed investing decisions.

  
   

Shouldn't we all do our homework to better protect our financial futures?
 

SHARE WITH YOUR FRIENDS HOW YOU STARTED YOUR INVESTING JOURNEY


What worked for your Dad

A friend of a friend

An adviser eager for your business

Bragging rights amongst friends


QUICK POLL
Do you use a financial adviser to help with your investing decisions?

RESULT


Once you've checked registration, you're on your way to having
the power to protect yourself as an investor.

Here are three great tools to help you make the most of your relationship with a financial adviser or firm.


Check Before You Invest
This workbook will help you to keep your adviser and firm research organized; plus, you will find helpfull reminders and key questions to ask your adviser, such as:

  • How are they paid?
  • What if I have a problem?
  • What is their education and professional experience?
    •  
Working with a Financial Adviser
This guide supports both novice and experienced investors on key topics, such as:
Has an Adviser Ever Been Disciplined?
This list is managed by the Canadian Securities Administrators and is an important complement to the National Registration Search tool:

  • Find out whether an adviser has ever been disciplined
  • Find out what for and under which self- regulating organization
  • Review a detailed history and related documentation.
 


Did you know? Not all financial advisers
and firms are the same.
 

 
There are lots of different titles and designations that a financial professional may have. But it is their category of registration that lets you know the range, breadth and depth of advice and products they can offer.
 
WHAT CAN THEY SELL ME?
 
Registration categories affect the products and services advisers can offer.
 
An investment dealer can sell many types of investments, such as shares, bonds, and mutual funds.
 
But
 
A mutual fund dealer can sell only mutual funds.
 
WHAT CAN THEY TELL ME?
 
Registration categories affect the scope of advice they can provide.
 
A portfolio manager is a business that gives advice and manages your portfolio according to your instructions.
 
But
 
A restricted portfolio manager is a business that is allowed to give advice on a particular industry such as oil and gas, biotech or real estate.


How your financial adviser and firm are registered makes a difference
to the advice and types of financial products you can access.




The Canadian Securities Administrations and its 13 provincial
and territorial members work hard to protect Canadian investors.

If you have any question about registration, adviser definitions or your investments adviser or firm,
contact your provincial securities administrator.









Contact Us

CSA SECRETARIAT
 
Tour de la Bourse
800, Square Victoria
Suite 2510
Montreal, QC H4Z 1J2
TEL (514) 864-9510
 
FAX (514) 864-9512
 
EMAIL
csa-acvm-secretariat@acvm-csa.ca
@CSA_News