Advisor & Broker Database — CIRO Advisor Report (Canada)

Look up any CIRO-regulated Canadian financial advisor: registration status, approval categories, employment history, provinces licensed, industry courses, and regulatory disciplinary history. This is the Canadian analog to FINRA BrokerCheck — search a bulk list of last names, or fetch a known report directly by its ID.

CIRO (the Canadian Investment Regulatory Organization) merges the former IIROC and MFDA and is the single national self-regulator for Canada's investment dealers and mutual fund dealers. Its Advisor Report is the authoritative public registration and disciplinary record for anyone who currently trades securities on behalf of a Canadian dealer member.

Who Uses This

• Compliance / KYB teams verifying an advisor is currently registered and in good standing before onboarding
• Recruiters & dealer members checking a candidate's registration history, employment history, and disciplinary record
• Consumer due-diligence — confirming an advisor you're working with is really who they say they are
• Fund and RIA due diligence teams cross-referencing Canadian counterparts alongside US FINRA BrokerCheck records

How It Works

1. You give it one or more advisor last names (or, if you already have a report ID, jump straight to a direct lookup).
2. For each name, it retrieves the matching search results — legal name, current firm(s), and registration status.
3. For every currently-registered advisor, it fetches the full report: approval categories, current employer, provinces licensed, employment history, industry courses, and any regulatory disclosures.

CIRO's own tool does name matching, not prefix/substring search — enter a real last name as precisely as you can (their own guidance: watch out for homonyms and compound names). There is no full-registry browse; this is a name-lookup tool, matching CIRO's own public interface.

Input

Field	Type	Description
mode	select	individual_search (default) or by_id
lastNames	array	One or more last names to search. Required for individual_search.
firstName	string	Optional — narrows every last-name search to this first name.
firmName	string	Optional — narrows every last-name search to advisors at this CIRO member firm.
ids	array	One or more Advisor Report IDs (the UUID from a ciro.ca/advisor-report-result/ URL). Required for by_id.
fetchDetails	boolean	Default true. Fetch the full report per hit. Set false for fast listing-level rows only (name, firm, status, report URL) — cheaper for bulk name checks.
maxItems	integer	Maximum number of records to return. Default 10.

Search by name

{
  "mode": "individual_search",
  "lastNames": ["Smith", "Trudeau"],
  "fetchDetails": true,
  "maxItems": 50
}

Narrow to a specific firm

{
  "mode": "individual_search",
  "lastNames": ["Chen"],
  "firmName": "RBC DOMINION SECURITIES",
  "maxItems": 10
}

Direct lookup by report ID

{
  "mode": "by_id",
  "ids": ["3d24dfca-9b4d-46d1-81b3-15df56772377"],
  "maxItems": 1
}

Bulk listing-only pass (cheapest — for name-checking hundreds of advisors)

{
  "mode": "individual_search",
  "lastNames": ["Wilson", "Kumar", "Tremblay", "..."],
  "fetchDetails": false,
  "maxItems": 500
}

Output Fields

Field	Description
record_type	Always individual
record_tier	detail (full report) or listing (from search results only)
search_term	The last name query that produced this hit (empty for by_id lookups)
ciro_report_id	The report ID (UUID)
full_name	Advisor's legal name
registration_status	Registered (currently approved) or Not currently registered (formerly approved)
categories	CIRO approval categories (e.g. Registered Representative)
current_employer_name	Current CIRO member firm
current_employer_status	Status with the current firm (e.g. Active)
current_employer_address	Registered business location
provinces_registered	Provinces/territories registered to trade in
jurisdiction	Province of residence
employment_history	Previous sponsoring CIRO member firms
terms_and_conditions	Any conditions placed on the advisor's approval/registration
industry_courses	Industry courses/exams completed
has_disclosures	Whether the advisor has any regulatory disclosure on file
disclosure_count	Number of disclosure events
disciplinary_history	Formatted regulatory disclosure events (CIRO/IIROC/MFDA enforcement, hearings, sanctions)
advisor_report_url	Direct link to the advisor's CIRO Advisor Report page

Note: "Formerly approved" advisors have no CIRO Advisor Report page — CIRO only publishes full reports for currently regulated advisors. Those rows always come back as listing-tier, with any previously-listed firms captured in employment_history straight from the search result. To research a formerly-registered advisor's enforcement history, CIRO directs you to its separate enforcement records.

FAQ

Can I check hundreds of advisors in one run?

Yes — lastNames takes a list, and fetchDetails: false gives you a fast, cheap listing pass (name, firm, status) across your whole list before you decide which ones need the full report.

What does "Not currently registered" mean?

The advisor was formerly approved by CIRO (or its predecessor, IIROC/MFDA) but is no longer currently registered. CIRO does not publish a full report for these individuals through this tool.

Can I look up a specific advisor if I already have their report link?

Yes — use mode: "by_id" with the report's UUID (the part of the URL after /advisor-report-result/). This is the fastest and cheapest way to refresh a record you already know about.

How does this compare to FINRA BrokerCheck?

CIRO's Advisor Report is Canada's equivalent of FINRA BrokerCheck — the output fields here are named to match our FINRA BrokerCheck actor wherever the underlying data lines up, so records from both are easy to join for cross-border compliance and due-diligence work.

Can I narrow a search to a specific firm?

Yes — the firmName field matches against CIRO's list of member firms and narrows every name in your search.