Work With an Advisor

Advisors in Canada who buy and sell investment products must be registered by the securities regulator in each province where they do business, and must work for a firm that is also registered. Once someone is registered, they are subject to rules and regulations designed to protect investors. The registration process includes bankruptcy and criminal record checks and confirmation that the registrant has the basic qualifications to sell specific investments. There are different categories of registration for different types of investments and investing services. Boiled down, they are:

  • Dealer firms and representatives, registered to buy and sell investment products 
  • Advisor firms and representatives, registered to provide a more sophisticated service—including discretionary trading—to higher net worth clients

Advisor-Client Relationship 

You both have responsibilities when it comes to investing. Find out what they are so you can make the most of this important business venture. Learn more

Choose (or Change) Your Advisor

Choose an advisor who meets your needs. Learn to do a background check on any advisor and know what to ask when you interview advisors before choosing one. Learn more

Make Investment Decisions

Every investment you make should be suitable for you. How to make sure you choose investments that match your risk tolerance, investment goals, and life situation. Learn more

Get the InvestRight Guide to Investing

All the information in this section is collected in book form that you can download and print from your home computer. Learn more