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List of Registrants

Registration is Important!

Under the New Brunswick Securities Act, an individual or firm must be registered with the Commission to act as an adviser or be in the business of trading in securities or exchange contracts in New Brunswick, unless a registration exemption applies.
A person’s registration is more important than their title because it tells you the type of products or services they are qualified to sell or provide advice on. Registration helps protect investors because the Commission will only register firms and individuals if they are properly qualified and meet a certain standard.

To verify if a firm or individual is registered, you can:

Under the Securities Act, an individual or firm must be registered with the Financial and Consumer Services Commission to act as an adviser or be in the business of trading in securities or exchange contracts in New Brunswick, unless a registration exemption applies. Securities industry professionals are required to register with the securities regulatory authority in each province or territory where they do business.

If the name of the person you are searching for is not on this list, they may be relying on an exemption from the registration requirements or you may want to check the Caution List, which is a list of individuals or firms who are not registered to trade securities or provide investment advice in New Brunswick. You may also want to check the Canadian Securities Administrators Disciplined Persons List or Investor Alerts page.



 

* The terms ‘adviser’ and ‘financial adviser’ used here generally refer to a financial professional (which may include securities dealers; advisers; dealing representatives; advising representatives; or other registrants) and do not indicate a category of registration.  The registration category is more important than a title – always check registration before you invest.