Registration History. 7. Since 1996, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative).
Registration History. 7. Since November 1998, the Respondent has been registered in the mutual fund industry.
Registration History. 7. The Respondent has been registered in the securities industry since 1999.
Registration History. 6. From September 16, 2011 to present, the Respondent has been registered in Ontario as a dealing representative with Investia Financial Services Inc. (“Investia” or the “Member”), a Member of the MFDA.
Registration History. 7. Since June 2001, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”), a Member of the MFDA.
Registration History. 7. From December 2004 to March 2017, the Respondent was registered in Ontario, as a mutual fund salesperson (now known as a dealing representative), with Quadrus Investment Services Inc. (“Quadrus”), a Member of the MFDA.
Registration History. 7. In March 2016, the Respondent first became registered in the securities industry.
Registration History. 6. The Respondent is registered as a mutual fund dealer and an exempt market dealer in all jurisdictions in Canada (except Nunavut). The Respondent has been a Member of the MFDA since June 7, 2002. Corporate Structure
Registration History. 10. The Respondent became a Registered Representative in June 1967 and was employed with Xxxxxxx Xxxxx Canada Inc., Midland Xxxxxx Capital Inc. and CIBC Wood Gundy successively until she left CIBC Wood Gundy on July 2, 2013. The Respondent was 77 years old when she left CIBC Wood Gundy.
Registration History. 6. Since July 1, 2006, the Respondent has been registered in Ontario, British Columbia, Saskatchewan and Nova Scotia as a mutual fund salesperson / dealing representative1 and has been an Approved Person with Xxxxxxxxxx Financial Security Investments Inc. (“Desjardins” or the “Member”), a Member of the MFDA. Previously, he was also registered in Newfoundland and Labrador.
