Common use of AGREED FACTS Registration History Clause in Contracts

AGREED FACTS Registration History. 7. From November 2011 to December 2014, the Respondent was registered in Ontario as a dealing representative with TD Investment Services Inc. (“TDIS”), a Member of the MFDA.

AGREED FACTS Registration History. 76. From Between November 2011 to December 20149, 2012 and November 3, 2016, the Respondent was registered in Ontario as a dealing representative with TD Investment Services Inc. (“TDIS”), a Member of the MFDA.

AGREED FACTS Registration History. 7. From November 2011 to December 2014, the The Respondent was registered in Ontario as a dealing representative Dealing Representative with TD Investment Services Inc. (“TDISTD”), a Member of the MFDA, from July 22, 2014 to July 7, 2015.

AGREED FACTS Registration History. 76. From November 2011 22, 2010 to December 2014March 1, 2012, the Respondent was registered in Ontario as a dealing representative mutual fund salesperson with TD Investment Services Inc. (“TDIS”), a Member of the MFDA.

AGREED FACTS Registration History. 7. From November April 2007 to July 2009 and from January 2011 to December 2014November 2015, the Respondent was registered in Ontario as a mutual fund salesperson (now known as a dealing representative representative) with TD Investment Services Inc. (“TDIS”), a Member of the MFDA. On November 13, 2015, the Respondent was terminated as a result of the matter described herein.

AGREED FACTS Registration History. 76. From November 2011 January 20, 2016 to December 2014July 25, 2016, the Respondent was registered in Ontario as a dealing representative and was an Approved Person with TD Investment Services Inc. (“TDISTDISI” or the “Member”), a Member member of the MFDA.

AGREED FACTS Registration History. 7. From November 2011 October 2014 to December 2014April 2016, the Respondent was registered in Ontario as a dealing representative Dealing Representative with TD Investment Services Inc. Inc (“TDISTD”), a Member of the MFDA.

AGREED FACTS Registration History. 76. From November 2011 August 9, 2010 to December 2014present, the Respondent was has been registered in Ontario as a dealing representative with TD Investment Services Inc. (“TDIS” or the “Member”), a Member of the MFDA.