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Checking Registration

Generally, anyone selling securities, offering investment advice or acting as an investment fund manager in New Brunswick must be registered with FCNB. Securities industry professionals are required to register with the securities regulator in each province or territory where they do business. The registration category tells you the type of products or services someone is qualified to sell or provide advice on.

Read Understanding Registration to learn about categories of registration, common financial titles and designations associated with them in the Canadian financial services sector.

Registration helps protect New Brunswick investors like you because:

  • FCNB will only register firms and individuals if they are properly qualified and meet proficiency requirements for their category of registration.
  • Any restrictions (known as “terms and conditions”) imposed on a firm or individual by FCNB or other regulators will be listed.
  • Individuals must undergo a background and police check as part of the registration process.
  • Registered advisers and dealers are obligated to recommend investments that are suitable for you based on information that they gather from you.

Registration is an important layer of protection for investors but being registered is not a guarantee the person will always give you good advice or act ethically.

Learn more about the Categories of Registration

How to Check Registration and Background

These tools or websites can help you research who you are considering working with:

Also check for Recent Orders or Decisions from Regulatory Bodies:

You can also find helpful information about a company or individual in the news or by searching online. This can tell you about court cases and be a source for hearing rumours that you should investigate further.