Dealer Trade Matching Statements

Dealer Trade Matching Statements

Firm

Posted

Statement Date

Signed by

Contact

Acker Finley 17/07/2013 Undated Marian Buklis – Chief Compliance Officer Marian Buklis
(416) 777-9636
Acumen Capital Finance Partners Limited 18/06/2013, reconfirmed 05/11/2019 01/09/2007 Myja Miller, Chief Financial Officer & Chief Operating Officer Myja Miller
(403) 571-0308
AltaCorp Capital Inc. 14/11/2019 Undated Jocelyn Beckett, Chief Compliance Officer Gail O’Connor
(403) 539-8629
Jocelyn Beckett
(403) 539-8600
Altus Securities Inc. 16/08/2013 Undated Paul Jelec, Chief Compliance Officer Gregg Blaha
(416) 369-3025
B2B Bank Securities Services Inc. 06/12/2013, reconfirmed 05/11/2019 05/12/2013 Brian Prosser, Chief Compliance Officer Hugh Cameron
(416) 413-7238
Bank of America Merrill Lynch, Merrill Lynch Canada Inc. 25/06/2013 04/09/2007 Mark Dickerson, Corporate Secretary Doug Butters
(416) 369-3953
Barclays Capital Canada Inc. 19/06/2013, reconfirmed 11/11/2019 06/2012 John Kennedy, Chief Compliance Officer John Kennedy
(416) 863-8927
BBS Securities Inc. 05/02/2009 10/10/2008 Bardya Ziaian, President & CEO Bardya Ziaian
(416) 235-1227
Beacon Securities Limited 22/11/2013 02/11/2012 Alistair Maxwell, Chairman & CEO Moshe Ifergan
(416) 507-3974
BMO Nesbitt Burns Inc. 02/03/2021 02/03/2021 Paul White, Director CM Securities Operations Paul White
(416) 552-7364
Kevin Armstrong
(416) 552-8904
Brant Securities Limited 24/10/2007 Undated Keith McMeekin, President & Chief Executive Officer Keith McMeekin
(416) 596-4596
Brookfield Financial Corp. 24/03/2011 Undated Brydon Cruise, Chief Compliance Officer Mark Murski
(416) 956-5252
Burgeonvest Securities Limited 02/10/2007 Undated Mario Frankovich, President & CEO Mario Frankovich
(905) 528-6505
Byron Securities Limited 22/11/2013 01/02/2011 Geoff Clarke, President & Chief Operating Officer Byron Securities
(416) 867 9800
Caldwell Securities Ltd. 09/10/2007, reconfirmed 05/11/2019 Undated Sally Haldenby Haba, VP Sally Haldenby Haba
(416) 207-0933
Canaccord Genuity Corp. 23/11/2013 10/10/2013 Matt Gaasenbeek, President  
Canadian ShareOwner Investments Inc. 07/11/2019 07/11/2019 Robyn Ross, Chief Executive Officer Robyn Ross
(416) 709-1051
Casgrain & Company Limited 26/06/2013, reconfirmed 05/11/2019 01/09/2007 André Zanga, Vice President & Chief Financial Officer André Zanga
(514) 871-8080
CIBC World Markets Inc. 27/11/2013 Undated Wayne Ralph, Senior Vice-President CIBC, Wholesale/Brokerage Operations Susan Fleming
(416) 681-4494
Citigroup Global Markets Canada Inc. 19/09/2007 Undated David A. Carson, Chief Operating Officer David A. Carson
(416) 866-2294
Citigroup Global Markets Inc. 28/09/2007 Undated Gary Probert, Managing Director David A. Carson
(416) 866-2294
Citigroup Global Markets Limited 27/09/2007 Undated Catherine Munro, Managing Director David A. Carson
(416) 866-2294
Clarus Securities Inc. 26/11/2013 11/2013 Jim Christodoulis, Chief Executive Officer Tom Monahas
(416) 343-2783
Cormark Securities Inc. 05/11/2019 Undated Julie Eisenstat, Chief Compliance Officer Julie Eisenstat
(416) 943-6494
Credit Suisse Securities (Canada), Inc. 25/06/2013 Undated Craig Henshaw, Chief Operating Officer Nick Pomponio
(416) 352-4681
CWB McLean & Partners Wealth Management Ltd. 08/01/2020 07/01/2020 Amanda Bateman,Chief Compliance Officer

Lindsay Marinucci

Loretta Carbonelli
(780) 392-1478

D&D Securities Company 25/11/2013 25/11/2013 Patrick Lilly, President, CEO, & CCO Patrick Lilly
(416) 369-6929
Desjardins Securities Inc. 05/09/2017 28/08/2017 Radek Loudin, Chief Compliance Officer Olivia De Laleu
514-281-2244 / 1-877-780-1171 # 506 2030
Deutsche Bank AG Canada Branch 03/07/2014 01/07/2013 Scott Lampard, President & Chief Executive Officer Johanna O’Reilly
(416) 682-8243
Deutsche Bank Securities Limited 03/07/2014 01/07/2013 Scott Lampard, President & Chief Executive Officer Johanna O’Reilly
(416) 682-8243
Echelon Wealth Partners Inc.. 05/11/2019 Undated David Cusson, CEO Louis Cavalaris
(416) 864-3683
Edward Jones 11/09/2013 09/09/2013 Doug Bennett, Principal Operations & Services CanadaTradeOps5012@

 

edwardjones.com

Emerging Equities Inc. 28/06/2013 14/09/2009 Senada Russell-Baker, Vice President Senada Russell-Baker
(403) 216-9345
Fidelity Clearing Canada ULC. 12/05/2016 04/04/2016 Bryan Moffitt, Chief Operating Officer Jason Chapman
(416) 216-2610
FirstEnergy Capital Corp. 23/11/2013 01/01/2011 Ruby Wallis, Chief Operating Officer Ruby Wallis
(403) 262-0631
Fonds des professionnels – Gestion privée inc. (French only) 19/08/2013 19/08/2013 André Sirard, Président et chef de la direction Jean-François Levasseur
(514) 350-5169
Fin-XO Securities Inc. 16/08/2013 21/06/2010 Guy Dufresne, 1st Vice President François Demers
or Claude Raad (514) 875-5822
Foster & Associates Financial Services Inc. 06/18/2013 06/18/2013 Tony Manning, Vice President, CCO Tony Manning
(416) 369-3189
G-Trade Services LLC 18/06/2013 18/06/2013 Bea Ordonez, Chief Operating Officer Bea Ordonez
(212) 237-0434
Generation IACP Inc. 17/12/2019 Undated Randall Abramson, President Sasha Rnjak
(416) 956-9616
Global MaxFin Capital Inc. 22/05/2012 Undated Karim Allani, Chief Financial Officer Arman Pekel
(416) 642-3531
Global Securities Corporation 20/06/2013 21/09/2007 Joya Baba, Vice-President, Operations Joya Baba
(604) 443-7069
Goldman Sachs Canada Inc. 28/09/2007 Undated Stefano Zuliani, Chief Compliance Officer Stefano Zuliani
(416) 343-8763
Hampton Securities Ltd. 16/08/2013 22/06/2011 Cheryl de Montigny, Chief Compliance Officer David Lister
(416) 862-8654
Haywood Securities Inc. 29/07/2019, reconfirmed 05/11/2019 Undated Bruce Thompson, Chief Compliance Officer Mark Maisonville
(604) 697-7105
HSBC Securities (Canada) Inc. 20/05/2014 Undated Michael A. Williams, Chief Operating Officer Michael A Williams
(416) 868-3388
Hugues Ouimet & Associates Inc. 05/10/2007 Undated Hugues Ouimet, President Hélène Dubé
(514) 843-5050
iA Private Wealth Inc. 29/04/2021 28/04/2021 Bruno Blouin, Senior Vice President and Chief Financial Officer Moira Simo
416-350-3250 ext. 6858
Incapital Canada ULC 29/10/2013 Undated Jehred Ross, Chief Compliance Officer Jehred Ross
(416) 507-3660
Instinet Canada Limited 20/08/2013 Undated Kenenth J. Klepacki, Chief Operating Officer Ken Klepacki
(416) 304-6365
Integral Wealth Securities 26/06/2013 Undated Tom Wu, CFO Tom Wu
(416) 203-5845
IPC Securities Corporation 16/10/2007 15/10/2007 Steve R. Elliott, Vice President, Chief Compliance Officer email
(905) 212-0945
Jacob Securities 31/07/2012 Undated Sasha Jacob, President and CEO Sasha Jacob
(416) 866-8304
Jennings Capital Inc. 25/06/2013 Undated Ann McIntosh, Chief Compliance Officer Ann McIntosh
(416) 304-2194
Jitneytrade Inc. 28/07/2014 27/08/2013 Jean-François Sabourin, President and CEO Jean-Francois Sabourin
(514) 985-8086
Jordan Capital Markets Inc. 25/11/2013 Undated William B. Walker, CCO Brent Walker
(778) 373-4123
J.P. Morgan Securities Canada Inc. 01/10/2007 Undated Sara Collins, Chief Financial Officer Angie Hodgson
(416) 981-9135
Kernaghan & Partners Ltd. 13/01/2016 Undated Mark Van Remortel, CEO & UDP Mark Van Remortel
(416) 465-0586
Kingsdale Capital Markets Inc. 07/10/2009 Undated Anita Tyler, VP Operations/CCO Anita Tyler
(416) 867-4563
Laurentian Bank Securities 15/08/2013 Undated Yves Ruest, Vice President, Finance and Administration, Chief Financial Officer, Chief Compliance Officer Yves Ruest
(514) 350-3070
Leede Jones Gable Inc. 21/10/2020 08/2007 Robert Harrison, President Peter Brock
(604) 658-3042
Lightyear Capital Inc. 25/11/2013, reconfirmed 19/11/2019 Undated Louise M. Duchesne, Chief Compliance Officer Louise M. Duchesne
(403) 218-1409
Liquidnet Canada Inc. 21/08/2019, reconfirmed 05/11/2019 20/08/2019 Jay Lee, Head of Canada Muneeb Ahsan
416-594-2453
Loewen, Ondaatje, McCutcheon Limited (LOM) 05/07/2007 08/06/2007 Robert Matthews, Chief Compliance Officer Greg Hartman
(416) 964-4481
MPartners Inc. 19/09/2007 Undated Johanna O’Reilly, Chief Compliance Officer & VP Operations hr@mpartners.ca
(416) 603-7381 ext 231
Mackie Research Capital Corporation 18/06/2013 Undated Patrick G. Walsh, CEO Mark Censale
(416) 863-3829
Macquarie Private Wealth Inc. 19/08/2013 09/05/2011 Daniel Bowering, Chief Compliance Officer Dan Bowering
(416) 687-1179
Magna Partners Ltd. 15/10/2007 01/10/2007 Nick Abe, Chief Compliance Officer Nick Abe
(416) 640-0590
Maison Placements Canada Inc. 18/06/2013 08/2007 Paul D. Aitkens, Chief Compliance Officer Paul D. Aitkens
(416) 947-6068
Manulife Securities Incorporated 20/02/2014 04/02/2014 Rick Annaert, President & Chief Executive Officer Andy Pauksens
(905) 469-2100 x283532
MGI Securities Inc. 25/11/2013 Undated James Andrews, CFO James Andrews
(416) 864-2604
Middlefield Capital Corporation 25/11/2013 Undated W. Garth Jestley, Managing Director and Chief Executive Officer Dean Orrico
(416) 847-5347
Morgan Stanley Canada Limited 16/08/2013 26/09/2007 George Christie, Executive Director, Operations George Christie
(416) 943-8330
NBF Securities USA Corp. 06/09/2007 27/08/2007 Alain Legris, Executive Vice-president and Chief Financial Officer Sylvia Gad
(514) 868-5457
National Bank Financial Inc. 07/04/2022 08/04/2022 Nelson Dugré-Sasseville, Securities Settlement Process Joane Seto
(514) 879-5108
Newedge Canada Inc. 25/11/2013 Undated Benoit Carignan,Chief Operating Officer Patrick Migneron
(514) 841-6294
Ocean Securities Inc. 10/12/2007 Undated Robinson Manson, Vice President & CFO Robinson Manson
(902) 423-1131
Octagon Capital Corporation 06/09/2007 07/2007 Christopher J. Everest, Chief Operating Officer Cheryl de Montigny
(416) 304-7833
Chris Everest
(416) 306-2552
Odlum Brown Limited 25/11/2013 01/03/2013 Mary Beck, Vice President Compliance Mary Beck
(604) 844-5301
Paradigm Capital Inc. 14/06/2018, reconfirmed 05/11/2019 Undated Michael Roland, Chief Compliance Officer Michael Roland
PWL Capital Inc. 28/11/2013 27/11/2013 Michael Simioni, Chief Compliance Officer Michael Simioni
(514) 875.7566 x294
PGM Global 06/08/2022 25/10/2019 Giancarlo Farinacci, CFO & CCO (Canada) Giancarlo Farinacci
514 227-7718
Peters & Co. Ltd. 25/11/2013, reconfirmed 05/11/2019 Undated Leslee C. Altin, Chief Compliance Officer Leslee C. Altin
(403) 261-2227
Pictet Canada L.P. 08/07/2013 08/07/2013 David Parsons, Chief Operating Officer & Richard Gaulin, Vice President R Gaulin/S Borgognon
(514) 350-6246
PI Financial Corp. 25/06/2013 Undated D. Andrew Murray, Chief Financial Officer Richard Thomas
(604) 664-3617
Pollitt & Co. Inc. 27/09/2007 09/2007 John Christie, CFO John Christie
(416) 365-3313
Pope & Company Limited 09/07/2013 07/07/2013 Adam Kretschmann, Chief Compliance Officer Adam Kretschmann
(416) 593-5535
Qtrade Securities Inc. 15/08/2013 Undated Andy Quin, Vice-President, Operations Andy Quinn
(604) 605-4209
Questrade, Inc 05/12/2023 Undated Jason Grieve, Chief Client Officer John Wong
(647) 463-3765
Raymond James Ltd. 09/08/2013 09/08/2013 Lloyd Costley, Chief Operating Officer Elaine Partridge
(604) 654-1291
RBC Dominion Securities Inc. (RBC Capital Markets) 21/01/2020 17/12/2019 Blair Morton, Managing Director John Jordanides
(416) 842-4765
Red Cloud Securities Inc. 17/11/2020 Undated David Schnarr, CCO David Schnarr
(416) 613-1438
RF Securities Clearing LP 24/07/2020 12/2019 Deborah Starkman, CFO Joe Riga
(416) 943-6151
Rothenberg Capital Management Inc. 23/07/2016 Undated Robert Rothenberg, President Christopher Mack
(514) 934-0586
Royal Bank of Canada 21/01/2020 17/12/2019
Blair Morton, Managing Director

John Jordanides
(416) 842-4765
Richardson GMP Limited 20/08/2013 16/01/2012 Harris Fricker, CEO Leo Purcell
(416) 943-6633
Scotia Capital Inc. 27/09/2007 Undated Norman K. J. Graham, Senior Vice President Securities Operation Jesse Cruz
(416) 863-5935
SG Americas Securities LLC 01/10/2007 28/09/2007 Michael Walsh, Managing Director Donna Schirloff
(212) 278-4172
Sherbrooke Street Capital (SSC) Inc. 16/10/2007 27/09/2007 Alberto Galeone, CEO, Treasurerand Director Scott Wilson
(514) 937-4226
State Street Global Markets Canada Inc. 25/06/2013 Undated Andrew Carrington, President and CEO Stella Coote
(617) 664-3718
Stifel Nicolaus Canada Inc. 03/01/2008 Undated Lisa Edwards, Vice President and Chief Compliance Officer Lisa Edwards
(416) 815-0888
Stonecap Securities Inc. 16/06/2010 06/04/2010 Charlie Pennock, CCO Charles Pennock
(416) 342-9940
TD Bank Financial Group 08/12/2013 18/07/2007 Bob O’Leary, Managing Director Bob O’Leary
(416) 983-3602
TD Securities Inc. 08/12/2013 12/07/2007 Bob O’Leary, Managing Director Bob O’Leary
(416) 983-3602
Toll Cross Securities Inc. 04/11/2011 11/2011 Marc Bouchard, Compliance Officer Tom Hope
(416) 365-1960
UBS Securities Canada Inc. 06/12/2019 12/03/2019 Lisa Petrelli, Managing Director – Head of Equities, Canada Walker Wentworth
Virtu ITG Canada. 06/11/2019 01/03/2019 Etienne Phaneuf, CEO Kuno Tucker
(416) 874-0830
W.D. Latimer Co. Limited 26/06/2013, reconfirmed 05/11/2019 26/07/2007 Sesto DeLuca, President Jodi Hale
(416) 366-0534
Wells Fargo Securities Canada, Ltd. 20/01/2016, reconfirmed 06/11/2019 20/01/2016 Mark Censale, Director, Compliance Mark Censale
(416) 775-2013
Wolverton Securities Ltd. 16/08/2013 09/2007 Alexandra Williams, Chief Compliance Officer Rahim Rajwani
(604) 605-6336

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