Working With A Financial Adviser
New Brunswick Securities Commission
Acts & Regulations
Do It Online
Forms and Packages
Some forms may require the latest version of Adobe Acrobat Reader. Please fill, print and send form(s) to the mailing address provided on the form or in the Service Contact section.
Related Links
- Adviser relationship
- Avoiding & reporting scams
- Background checks
- Caution List
- Exemptions
- Investor Education
- List of Registered Dealers and Advisers
- Red Flags of Fraud
- Types of scams
Overview
As a Crown corporation established to regulate the capital markets, the Commission has resources available to help those who work with or are looking to work with an adviser to handle investments or assist with financial planning.
* The term 'financial adviser' includes: securities dealers; advisers; dealing representatives; advising representatives; or other registrants.
Eligibility
As an investor, you have the right to expect that the professionals who handle your investments will obey the rules, always act in your best interest and treat you fairly.
You will find this information useful if you are looking for information about choosing an adviser, how to do background checks, how to make the most of the relationship, and why registration is so important.
Description
A financial adviser can help guide you along your investing journey. They can help you set goals, build a long-term plan, choose suitable investments, track your progress, and make adjustments to your plan when needed. They can also answer questions about investment products and strategies and keep you motivated to stick to your plan.
Because financial advisers offer different types of services and specialties, it is important to assess your needs before choosing the financial adviser who is the best fit for you.
We have resources to help you prepare for your first meeting with your adviser. You should always do a background check before making any investment decision. Our Background Check Guide can take you through the steps to follow.
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 the province, unless an exemption applies. You can visit the List of Registered Dealers & Advisers to check for the name of your adviser or firm. If you don’t see their name on the list, visit the section on Exemptions.
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 we will only register firms and individuals if they are properly qualified and meet a certain standard.
We also have a Caution List of individuals and firms who are not registered, but who may have contacted or try to contact residents.
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