Dealers & Advisers
A person or company advising or trading in securities or commodity futures is required to be registered, unless the activity is exempt from registration.
This is a list of all firms registered to sell securities in Ontario and their category or categories of registration. The information set out in this document is not an official record of registration under the Securities Act (Ontario) and the Commodity Futures Act (Ontario) and does not constitute a certificate of registration or lack of registration under section 139 of the Securities Act (Ontario) and section 62 of the Commodity Futures Act (Ontario).
Depending on the type of activities which are to be performed by the business applicant, it may fall into one of the dealer or adviser registration categories cited below. A business applicant may include a sole proprietorship, partnership or corporation.
Once the appropriate registration category has been identified, the business applicant is required to file the specified material outlined on the applicable registration requirement list.
