Why is registration important?
Securities industry professionals are required to register with the securities regulator in each province or territory where they do business. Registration helps protect investors because securities regulators will only register firms and individuals if they are properly qualified.
Check Registration
Use the National Registration Search to check if an individual or firm is registered.
Further Information
If you have questions about the results, check this guide to understanding registration search results.
Keep in mind that, just because an individual or firm is registered doesn’t mean the investment is a good fit for you. Those offering investment opportunities have varying skills, provide a variety of services and likely charge different fees. Ensure the person you’re working with understands your goals and is willing to work with you to meet them. They must assess your current financial and personal situation, your investment objectives and risk tolerance.
If you discover the person or company you are dealing with is not registered, is offering you something they don’t seem permitted to, or if you need help understanding the results of the National Registration Search tool, please contact the Financial and Consumer Services Division.
Financial and Consumer Services Division
Telephone: (902) 620-3870
Email: ccis@gov.pe.ca