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. 6. The Respondent has been registered in the mutual fund industry since April 2000.
Registration History. 7. The Respondent has been registered in the securities industry since 1999.
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. Since December 2000, the Respondent has been registered in Manitoba and Ontario as a mutual fund salesperson (now known as a dealing representative) with Quadrus Investment Services Ltd. (“Quadrus”), a Member of the MFDA.
Registration History. 7. In March 2017, the Respondent first became registered in the securities industry.
Registration History. 6. The Respondent is registered as a mutual fund dealer and exempt market dealer in all jurisdictions in Canada. The Respondent has been a Member of the MFDA since May 16, 2002. Corporate Structure
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. 6. From December 1, 1987 to February 1, 2011, the Respondent was registered as a mutual fund salesperson with Sun Life Financial Investment Services (Canada) Inc. or its predecessors (“Sun Life” or the “Member”). The Respondent retired at the end of April 2010 and the Respondent’s Advisor Agreement with the Member accordingly ended effective May 1, 2010. However, the Respondent remained registered and held the title of Associate Advisor to oversee the transition of his client roster to new Sun Life advisors. Transfer of the Respondent’s clients was completed in early 2011 and the Respondent formally resigned from Sun Life effective February 1, 2011.
Registration History. 9. The Respondent entered the industry in 1983 and has been registered since then with CIBC as follows: Registration Date Category February 2, 1983 Registered Representative (Mutual Funds) (“RMFR”) March 30, 1983 Registered Representative (“RR”) August 21, 1986 Registered Representative Options (“RRO”) June 25, 1990 Trading Officer (VP) and RRO December 13, 1993 Director, VP and RRO December 30, 1994 Director, VP and APMO November 1, 1995 VP and APMO January 15, 2002 First VP and APMO Client GF:
