Registrant Search
Search here to find out if an individual is or firm is registered with the OSC. The search results will tell you what category they are registered in, and any terms and conditions attached to their registration. You can search by individual name (preferably only using surname) or firm name.
The date provided further below indicates when the information was last updated. Changes may have happened since this date so persons and/or companies may be registered but not appear, or may appear but may no longer be registered. The same may apply to terms and conditions.
What are terms and conditions?
Terms and conditions may be imposed for various reasons, for example, to address a regulator's concerns, to restrict activities, or as a result of disciplinary or other proceedings.
The IIROC may also impose terms and conditions on individuals who are granted registration in the securities industry for the first time with an IIROC member firm. In this case, a six-month period of supervision and/or post-registration proficiency requirements may apply.
For more information
Call the OSC Inquiries and Contact Centre at 416-593-8314 or 1-877-785-1555 for more information about:
- what the categories mean
- how long an individual or firm has been registered and in what category
- terms and conditions
- disciplinary actions against an individual or firm
For the Registrant List: Firms only in PDF click here.
- To search an individual name, use the format: "Last Name, First Name" - or search only by last name.
Example - Search - "Doe, Jane" - instead of "Jane Doe".
- Search queries are not case sensitive.
Example - searches for "john smith", "John Smith", and "jOhN sMitH" will all return the same results.
- Searching only an Individual Name OR only a Company Name will return more results.
Example - Using both search fields will narrow your search, but can also restrict the amount of results returned.
- Special search terms and characters cannot be used.
Example - Boolean terms (AND, NOT, OR) and Symbols (*, +, -) will restrict results.
- To use the “Terms and Conditions" search in Firefox Browser Versions 2.0+ please adjust the settings in your browser by following these instructions.
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Instructions to search the Registrants List in Firefox 2.0+ [close Firefox instruction]
1. Launch your Firefox browser. Select Help > Check for Updates. Install the latest update if any. The update may require you to restart Firefox.
2. Browse to the Registrants List page at: http://www.osc.gov.on.ca/Dealers/RegistrantList/reg_terms-of-use.jsp
(After performing a search you may see the error: “Permission denied to call method XMLHttpRequest.open”)
3. If the error is present, please adjust your browser settings by typing “about:config” into your address bar.
4. Under the “Preference Name” column, change the value of ‘signed.applets.codebase_principal_support’ to “true” by right clicking the text and selecting “toggle”.
5. Return to the Registrants List page at: http://www.osc.gov.on.ca/Dealers/RegistrantList/reg_terms-of-use.jsp
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