AGREED FACTS Registration History. 6. The Respondent was registered in the securities industry commencing in 1997.
AGREED FACTS Registration History. 6. The Respondent has been registered in the mutual fund industry since March 19, 1996.
AGREED FACTS Registration History. 7. Since May 23, 2007, the Respondent has been registered in Manitoba 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.
AGREED FACTS Registration History. 7. Since 1994, the Respondent has been registered as a mutual fund salesperson (now known as a Dealing Representative). Since August 2011, he has been registered in Ontario with FundEX Investments Inc., (“FundEX”), a Member of the MFDA.
AGREED FACTS Registration History. 7. Since June 1993, the Respondent has been registered in Alberta as a mutual fund salesperson (now known as a dealing representative) with PFSL Investments Canada Ltd. (“PFSL”), a Member of the MFDA.
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. 6. The Respondent is registered as a mutual fund dealer in Alberta and Ontario, and has been a Member of the MFDA since February 8, 2002.
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. 6. The Respondent has registered as a mutual fund salesperson (now known as a dealing representative1) since December 2002.
AGREED FACTS Registration History. 6. The Respondent is registered as a mutual fund dealer in the provinces of British Columbia and Ontario.
