Registrants

Under the Securities Act, firms and individuals must be registered with the ASC to give advice about securities or to trade, buy or sell securities.

Search for a Registered Individual

You can search for an individual using either last or first name. If you are not sure how the name is spelled, place an asterisk (*) following the first few letters to return all results beginning with those letters. Example: If you are searching for an individual and are not sure if his last name is Smith or Smyth, enter Sm* in the Last Name field to return all results beginning with Sm.

Looking for a Firm? Search here. Not sure what it all means? Check out the important definitions you need to know.