AGREED FACTS Registration History. 6. The Respondent was registered in the securities industry commencing in 1997.
AGREED FACTS Registration History. 7. Between 1995 and 2016, the Respondent was registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) with Investors Group Financial Services Inc. (“Investors Group”), a Member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.
AGREED FACTS Registration History. 6. The Respondent has been registered in the mutual fund industry since July 2001.
AGREED FACTS Registration History. 7. Since 1997, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative).
AGREED FACTS Registration History. 7. Since 2002, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) with Sun Life Financial Services (Canada) Inc. (“Sun Life”)1, a Member of the MFDA.
AGREED FACTS Registration History. 7. Since November 1995, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) with PFSL Investments Canada Inc. (“PFSL”), a member of the MFDA.
AGREED FACTS Registration History. 6. The Respondent is registered as a mutual fund dealer in Ontario and British Columbia, and as an exempt market dealer in Ontario.
AGREED FACTS Registration History. 6. From January 20, 2016 to July 25, 2016, the Respondent was registered in Ontario as a dealing representative and was an Approved Person with TD Investment Services Inc. (“TDISI” or the “Member”), a member of the MFDA.
AGREED FACTS Registration History. 7. Since 1996, the Respondent has been registered as a Mutual Fund Salesperson (now known as a Dealing Representative).
AGREED FACTS Registration History. 6. The Respondent has been registered in Ontario as a mutual fund dealer since April 8, 1986 and has been a Member of the MFDA since March 8, 2002.
