Post on 05-Aug-2020
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
108 SECURITIES INC. Exempt Market Dealer>38260
18 ASSET MANAGEMENT INC. Portfolio Manager>32480
1832 ASSET MANAGEMENT L.P./GESTION D'ACTIFS 1832 S.E.C. Investment Fund Manager>30050
1832 ASSET MANAGEMENT L.P./GESTION D'ACTIFS 1832 S.E.C. Commodity Trading Manager>30050
1832 ASSET MANAGEMENT L.P./GESTION D'ACTIFS 1832 S.E.C. Portfolio Manager>30050
1832 ASSET MANAGEMENT L.P./GESTION D'ACTIFS 1832 S.E.C. Exempt Market Dealer>30050
3I FINANCIAL INVESTMENT SERVICES INC. Mutual Fund Dealer>25880
3IQ CORP. Investment Fund Manager>41350
4FRONT CAPITAL PARTNERS INC. Exempt Market Dealer>38040
1
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
ABERDEEN ASSET MANAGEMENT CANADA LIMITED Portfolio Manager>37730
ABERDEEN ASSET MANAGEMENT INC. Investment Fund Manager>12470
ABERDEEN ASSET MANAGEMENT INC. Portfolio Manager>12470
ABERDEEN FUND DISTRIBUTORS, LLC Exempt Market Dealer>30420
ABERDEEN GOULD CAPITAL MARKETS LTD. Exempt Market Dealer>27200
ABINGDON CAPITAL CORPORATION Exempt Market Dealer>53830
ACADIAN ASSET MANAGEMENT LLC Exempt Market Dealer>6620
ACADIAN ASSET MANAGEMENT LLC Portfolio Manager>6620
ACASTA CAPITAL INC. Exempt Market Dealer>42680
ACC GLOBAL FINANCIAL INC. Mutual Fund Dealer>50490
ACCESS CAPITAL CORP. Exempt Market Dealer>210
ACCILENT CAPITAL MANAGEMENT INC. Investment Fund Manager>12410
ACCILENT CAPITAL MANAGEMENT INC. Commodity Trading Manager>12410
ACCILENT CAPITAL MANAGEMENT INC. Portfolio Manager>12410
ACCILENT CAPITAL MANAGEMENT INC. Exempt Market Dealer>12410
ACCREDITED CAPITAL CORPORATION Commodity Trading Manager>18780
ACCREDITED CAPITAL CORPORATION Exempt Market Dealer>18780
ACKER FINLEY ASSET MANAGEMENT INC. Investment Fund Manager>610
ACKER FINLEY ASSET MANAGEMENT INC. Portfolio Manager>610
ACKER FINLEY INC. Investment Dealer>140
ACM ADVISORS LTD. Investment Fund Manager>30360
ACM ADVISORS LTD. Exempt Market Dealer>30360
ACORN GLOBAL INVESTMENTS INC. Commodity Trading Manager>18640
ACORN GLOBAL INVESTMENTS INC. Portfolio Manager>18640
ACORN GLOBAL INVESTMENTS INC. Exempt Market Dealer>18640
ACORN GLOBAL INVESTMENTS INC. Investment Fund Manager>18640
ACTION VALEUR AJOUTEE INC. Portfolio Manager>19120
ACUMEN CAPITAL FINANCE PARTNERS LIMITED Investment Dealer>6070
ADAPTIVE ASSET MANAGEMENT LTD. Portfolio Manager>49070
ADDENDA CAPITAL INC. Exempt Market Dealer>28190
ADDENDA CAPITAL INC. Investment Fund Manager>28190
ADDENDA CAPITAL INC. Commodity Trading Manager>28190
ADDENDA CAPITAL INC. Portfolio Manager>28190
ADDINGTON FINANCIAL CORPORATION Mutual Fund Dealer>6890
ADVANCED CAPITAL CORPORATION Exempt Market Dealer>46100
ADVISORY CAPITAL GROUP CANADA INC. Portfolio Manager>5180
AFINA CAPITAL MANAGEMENT INC. Portfolio Manager>31010
2
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
AGAWA FUND MANAGEMENT INC. Investment Fund Manager>53320
AGAWA FUND MANAGEMENT INC. Portfolio Manager>53320
AGAWA FUND MANAGEMENT INC. Exempt Market Dealer>53320
AGF INVESTMENTS INC. / PLACEMENTS AGF INC. Investment Fund Manager>3640
AGF INVESTMENTS INC. / PLACEMENTS AGF INC. Commodity Trading Manager>3640
AGF INVESTMENTS INC. / PLACEMENTS AGF INC. Portfolio Manager>3640
AGF INVESTMENTS INC. / PLACEMENTS AGF INC. Exempt Market Dealer>3640
AGF INVESTMENTS INC. / PLACEMENTS AGF INC. Mutual Fund Dealer>3640
AGF SECURITIES (CANADA) LIMITED Investment Dealer>20
AGILITH CAPITAL INC. Investment Fund Manager>26360
AGILITH CAPITAL INC. Portfolio Manager>26360
AGILITH CAPITAL INC. Exempt Market Dealer>26360
AIP ASSET MANAGEMENT INC. Investment Fund Manager>43370
AIP ASSET MANAGEMENT INC. Portfolio Manager>43370
AIP ASSET MANAGEMENT INC. Exempt Market Dealer>43370
ALBOURNE PARTNERS (CANADA) LIMITED Portfolio Manager>47650
ALDERSLEY SECURITIES INC. Portfolio Manager>5540
ALDERSLEY SECURITIES INC. Mutual Fund Dealer>5540
ALEXANDER CAPITAL GROUP INC. Exempt Market Dealer>22840
ALGONQUIN CAPITAL CORPORATION Investment Fund Manager>46400
ALGONQUIN CAPITAL CORPORATION Portfolio Manager>46400
ALGONQUIN CAPITAL CORPORATION Exempt Market Dealer>46400
ALIGNED CAPITAL PARTNERS INC. Investment Fund Manager>2340
ALIGNED CAPITAL PARTNERS INC. Investment Dealer>2340
ALIGNVEST CAPITAL MANAGEMENT INC. Portfolio Manager>42570
ALIGNVEST CAPITAL MANAGEMENT INC. Investment Fund Manager>42570
ALIGNVEST CAPITAL MANAGEMENT INC. Exempt Market Dealer>42570
ALIGNVEST INVESTMENT MANAGEMENT CORPORATION Commodity Trading Manager>49100
ALIGNVEST INVESTMENT MANAGEMENT CORPORATION Investment Fund Manager>49100
ALIGNVEST INVESTMENT MANAGEMENT CORPORATION Portfolio Manager>49100
ALLARD, ALLARD & ASSOCIES INC. Portfolio Manager>20120
ALLIANCEBERNSTEIN CANADA, INC. Portfolio Manager>100
ALLIANCEBERNSTEIN CANADA, INC. Exempt Market Dealer>100
ALLIANZ GLOBAL INVESTORS U.S. LLC / ALLIANZ INVESTISSEURS MONDIAUX E.-U.
Exempt Market Dealer>9820
ALLIED CAPITAL CORPORATION Exempt Market Dealer>4390
ALLVISTA INVESTMENT MANAGEMENT INC. Portfolio Manager>27610
ALPHAFIXE CAPITAL INC. Investment Fund Manager>28220
3
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
ALPHAFIXE CAPITAL INC. Portfolio Manager>28220
ALPHANORTH ASSET MANAGEMENT Exempt Market Dealer>26330
ALPHANORTH ASSET MANAGEMENT Investment Fund Manager>26330
ALPHANORTH ASSET MANAGEMENT Portfolio Manager>26330
ALPHAPLANUM INC. Portfolio Manager>48980
ALPHAPRO MANAGEMENT INC. Investment Fund Manager>34600
ALTA WEST MORTGAGE CAPITAL CORPORATION Exempt Market Dealer>33610
ALTACORP CAPITAL INC. Investment Dealer>33040
ALTERNATIVE CAPITAL GROUP INC. / GROUPE CAPITAL ALTERNATIF INC.
Exempt Market Dealer>42220
ALTIMUM MUTUALS INC. Mutual Fund Dealer>15640
ALTIUM WEALTH ARCHITECTURE INC. / ALTIUM ARCHITECTURE DE PATRIMOINE INC.
Portfolio Manager>44490
ALTRINSIC GLOBAL ADVISORS, LLC Portfolio Manager>23170
ALTRINSIC GLOBAL ADVISORS, LLC Exempt Market Dealer>23170
ALTRINSIC GLOBAL ADVISORS, LLC Investment Fund Manager>23170
ALTUS SECURITIES INC. Investment Dealer>5960
ALVAREZ & MARSAL CANADA SECURITIES ULC Exempt Market Dealer>39430
AMUNDI CANADA INC. Portfolio Manager>27710
AMUNDI CANADA INC. Exempt Market Dealer>27710
ANALYTIC INVESTORS, LLC Portfolio Manager>30280
ANGELLIST ADVISORS, LLC Restricted Dealer>57110
ANNAPOLIS CAPITAL LIMITED Investment Fund Manager>30040
ANNAPOLIS CAPITAL LIMITED Exempt Market Dealer>30040
ANSON ADVISORS INC. Exempt Market Dealer>42730
ANSON ADVISORS INC. Portfolio Manager>42730
ANSON FUNDS MANAGEMENT LP Investment Fund Manager>24000
ANTARES INVESTMENT MANAGEMENT, INC. Portfolio Manager>18330
ANTARES INVESTMENT MANAGEMENT, INC. Exempt Market Dealer>18330
ANTARES INVESTMENT MANAGEMENT, INC. Investment Fund Manager>18330
ANTYA INVESTMENTS INC. Portfolio Manager>49320
AON HEWITT INVESTMENT MANAGEMENT INC. Investment Fund Manager>51900
AON HEWITT INVESTMENT MANAGEMENT INC. Portfolio Manager>51900
AON HEWITT INVESTMENT MANAGEMENT INC. Exempt Market Dealer>51900
AON SECURITIES INVESTMENT MANAGEMENT INC. Commodity Trading Manager>51270
AON SECURITIES INVESTMENT MANAGEMENT INC. Portfolio Manager>51270
APPLIED RESEARCH INVESTMENT ADVISORS CORP. / APPLIED RESEARCH - CONSEIL EN INVESTISSEMENTS CORP.
Portfolio Manager>57640
4
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
APS ASSET MANAGEMENT PTE LTD Portfolio Manager>40180
AQR CAPITAL MANAGEMENT (CANADA), LLC Exempt Market Dealer>56170
AR3 CAPITAL MANAGEMENT INC. Commodity Trading Manager>41210
AR3 CAPITAL MANAGEMENT INC. Investment Fund Manager>41210
AR3 CAPITAL MANAGEMENT INC. Portfolio Manager>41210
AR3 CAPITAL MANAGEMENT INC. Exempt Market Dealer>41210
ARC FINANCIAL CORP. Exempt Market Dealer>2960
ARGOSY SECURITIES INC. Investment Dealer>5450
ARMSTRONG SHAW ASSOCIATES INC. Portfolio Manager>32190
AROHI ASSET MANAGEMENT PTE. LTD. Portfolio Manager>36790
ARROW CAPITAL MANAGEMENT INC. Investment Fund Manager>9540
ARROW CAPITAL MANAGEMENT INC. Commodity Trading Manager>9540
ARROW CAPITAL MANAGEMENT INC. Portfolio Manager>9540
ARROW CAPITAL MANAGEMENT INC. Exempt Market Dealer>9540
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP Exempt Market Dealer>9320
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP Commodity Trading Manager>9320
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP Portfolio Manager>9320
ARTEMIS INVESTMENT MANAGEMENT LIMITED Commodity Trading Manager>18440
ARTEMIS INVESTMENT MANAGEMENT LIMITED Portfolio Manager>18440
ARTEMIS INVESTMENT MANAGEMENT LIMITED Exempt Market Dealer>18440
ARTEMIS INVESTMENT MANAGEMENT LIMITED Investment Fund Manager>18440
ASCEND CAPITAL, LLC Portfolio Manager>31080
ASCENDO FINANCIAL SOLUTIONS INC. Exempt Market Dealer>47570
ASCENTA FINANCE CORP. Exempt Market Dealer>23800
ASSANTE CAPITAL MANAGEMENT LTD./GESTION DE CAPITAL ASSANTE LTEE
Investment Dealer>1160
ASSANTE FINANCIAL MANAGEMENT LTD./GESTION FINANCIERE ASSANTE LTEE
Mutual Fund Dealer>25750
ASSANTE FINANCIAL MANAGEMENT LTD./GESTION FINANCIERE ASSANTE LTEE
Exempt Market Dealer>25750
ATB INVESTMENT MANAGEMENT INC. Investment Fund Manager>14430
ATB INVESTMENT MANAGEMENT INC. Portfolio Manager>14430
ATB SECURITIES INC. Investment Dealer>16070
ATLAS CAPITAL INC. Exempt Market Dealer>56370
AUSPICE CAPITAL ADVISORS LTD. Investment Fund Manager>25850
AUSPICE CAPITAL ADVISORS LTD. Commodity Trading Manager>25850
AUSPICE CAPITAL ADVISORS LTD. Exempt Market Dealer>25850
AUTHENTIC ASSET MANAGEMENT INC./GESTION D'ACTIFS AUTHENTIC INC.
Portfolio Manager>50110
5
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
AUTHENTIC ASSET MANAGEMENT INC./GESTION D'ACTIFS AUTHENTIC INC.
Commodity Trading Manager>50110
AVENTINE MANAGEMENT GROUP INC. Investment Fund Manager>14850
AVENTINE MANAGEMENT GROUP INC. Portfolio Manager>14850
AVENUE INVESTMENT MANAGEMENT INC. Portfolio Manager>15660
AVIVA INVESTORS CANADA INC. Commodity Trading Manager>8420
AVIVA INVESTORS CANADA INC. Portfolio Manager>8420
AVIVA INVESTORS CANADA INC. Exempt Market Dealer>8420
AXCESS CAPITAL ADVISORS INC. Exempt Market Dealer>34040
AYAL CAPITAL ADVISORS LIMITED Investment Fund Manager>44670
AYAL CAPITAL ADVISORS LIMITED Portfolio Manager>44670
AYAL CAPITAL ADVISORS LIMITED Exempt Market Dealer>44670
6
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
B.A.F. CAPITAL MANAGEMENT INC. Restricted Portfolio Manager>40250
B.E.S.T. INVESTMENT COUNSEL LIMITED Portfolio Manager>8500
B.E.S.T. INVESTMENT COUNSEL LIMITED Exempt Market Dealer>8500
B.E.S.T. INVESTMENT COUNSEL LIMITED Investment Fund Manager>8500
B.S.P. FUNDS CANADA INC. Exempt Market Dealer>30320
B2B BANK FINANCIAL SERVICES INC./B2B BANQUE SERVICES FINANCIERS INC.
Exempt Market Dealer>4330
B2B BANK FINANCIAL SERVICES INC./B2B BANQUE SERVICES FINANCIERS INC.
Mutual Fund Dealer>4330
B2B BANK SECURITIES SERVICES INC. / B2B BANQUE SERVICES DE VALEURS MOBILIERES INC.
Investment Dealer>6690
BAILLIE GIFFORD & CO LIMITED Portfolio Manager>48560
BAILLIE GIFFORD OVERSEAS LIMITED Portfolio Manager>460
BAKER GILMORE & ASSOCIES INC. / BAKER GILMORE & ASSOCIATES INC.
Exempt Market Dealer>400
BAKER GILMORE & ASSOCIES INC. / BAKER GILMORE & ASSOCIATES INC.
Commodity Trading Manager>400
BAKER GILMORE & ASSOCIES INC. / BAKER GILMORE & ASSOCIATES INC.
Investment Fund Manager>400
BAKER GILMORE & ASSOCIES INC. / BAKER GILMORE & ASSOCIATES INC.
Portfolio Manager>400
BANQUE NATIONALE INVESTISSEMENTS INC./NATIONAL BANK INVESTMENTS INC.
Mutual Fund Dealer>28750
BANQUE NATIONALE INVESTISSEMENTS INC./NATIONAL BANK INVESTMENTS INC.
Investment Fund Manager>28750
BANWELL FINANCIAL INC. Exempt Market Dealer>10300
BANWELL FINANCIAL INC. Mutual Fund Dealer>10300
BARCLAYS CAPITAL CANADA INC. Investment Dealer>23970
BAROMETER CAPITAL MANAGEMENT INC. Investment Fund Manager>10920
BAROMETER CAPITAL MANAGEMENT INC. Commodity Trading Manager>10920
BAROMETER CAPITAL MANAGEMENT INC. Portfolio Manager>10920
BAROMETER CAPITAL MANAGEMENT INC. Exempt Market Dealer>10920
BARRAGE CAPITAL INC. Investment Fund Manager>37070
BARRAGE CAPITAL INC. Portfolio Manager>37070
BARRAGE CAPITAL INC. Exempt Market Dealer>37070
BARRANTAGH INVESTMENT MANAGEMENT INC. Portfolio Manager>5360
BASKIN FINANCIAL SERVICES INC. Portfolio Manager>7050
BAYFRONT CAPITAL PARTNERS LTD. Exempt Market Dealer>31330
BBS SECURITIES INC Investment Dealer>27620
BCV ASSET MANAGEMENT INC. Portfolio Manager>24700
7
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
BEACON SECURITIES LIMITED/VALEURS MOBILIERES BEACON LTEE
Investment Dealer>15540
BECKSLEY CAPITAL INC. / CAPITAL BECKSLEY INC. Exempt Market Dealer>540
BELCO PRIVATE CAPITAL INC. Exempt Market Dealer>35250
BELLOTTI CAPITAL PARTNERS INC. Exempt Market Dealer>23350
BELLWETHER INVESTMENT MANAGEMENT INC. Investment Fund Manager>21600
BELLWETHER INVESTMENT MANAGEMENT INC. Portfolio Manager>21600
BELLWETHER INVESTMENT MANAGEMENT INC. Exempt Market Dealer>21600
BER TOV CAPITAL CORPORATION Exempt Market Dealer>25280
BERINGER CAPITAL PARTNERS LTD. Exempt Market Dealer>21360
BEUTEL, GOODMAN & COMPANY LTD./BEUTEL, GOODMAN & COMPAGNIE LTEE.
Mutual Fund Dealer>260
BEUTEL, GOODMAN & COMPANY LTD./BEUTEL, GOODMAN & COMPAGNIE LTEE.
Investment Fund Manager>260
BEUTEL, GOODMAN & COMPANY LTD./BEUTEL, GOODMAN & COMPAGNIE LTEE.
Portfolio Manager>260
BIMCOR INC. Investment Fund Manager>270
BIMCOR INC. Portfolio Manager>270
BIRCHLEAF INVESTMENTS INC. Investment Fund Manager>9390
BIRCHLEAF INVESTMENTS INC. Portfolio Manager>9390
BITTERROOT CAPITAL ADVISORS, LLC Portfolio Manager>36550
BKC CAPITAL INC. Investment Fund Manager>43070
BKC CAPITAL INC. Portfolio Manager>43070
BKC CAPITAL INC. Exempt Market Dealer>43070
BLACK CREEK INVESTMENT MANAGEMENT INC. Investment Fund Manager>18900
BLACK CREEK INVESTMENT MANAGEMENT INC. Portfolio Manager>18900
BLACK CREEK INVESTMENT MANAGEMENT INC. Exempt Market Dealer>18900
BLACK SWAN DEXTERITAS INC. Commodity Trading Manager>41290
BLACK SWAN DEXTERITAS INC. Investment Fund Manager>41290
BLACK SWAN DEXTERITAS INC. Portfolio Manager>41290
BLACK SWAN DEXTERITAS INC. Exempt Market Dealer>41290
BLACKBRIDGE CAPITAL MANAGEMENT CORP. Investment Fund Manager>35230
BLACKBRIDGE CAPITAL MANAGEMENT CORP. Exempt Market Dealer>35230
BLACKHEATH FUND MANAGEMENT INC. Commodity Trading Manager>29840
BLACKROCK ASSET MANAGEMENT CANADA LIMITED/GESTION D'ACTIFS BLACKROCK CANADA LIMITEE
Investment Fund Manager>3900
BLACKROCK ASSET MANAGEMENT CANADA LIMITED/GESTION D'ACTIFS BLACKROCK CANADA LIMITEE
Commodity Trading Manager>3900
BLACKROCK ASSET MANAGEMENT CANADA LIMITED/GESTION D'ACTIFS BLACKROCK CANADA LIMITEE
Portfolio Manager>3900
8
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
BLACKROCK ASSET MANAGEMENT CANADA LIMITED/GESTION D'ACTIFS BLACKROCK CANADA LIMITEE
Exempt Market Dealer>3900
BLAIR FRANKLIN CAPITAL PARTNERS INC. Exempt Market Dealer>41310
BLOOM BURTON SECURITIES INC. Investment Dealer>49560
BLOOM INVESTMENT COUNSEL, INC. Investment Fund Manager>280
BLOOM INVESTMENT COUNSEL, INC. Portfolio Manager>280
BLOOMBERG TRADEBOOK CANADA COMPANY Futures Commission Merchant>11870
BLOOMBERG TRADEBOOK CANADA COMPANY Investment Dealer>11870
BLOOMBERGSEN INC. Investment Fund Manager>26810
BLOOMBERGSEN INC. Portfolio Manager>26810
BLOOMBERGSEN INC. Exempt Market Dealer>26810
BLUE RIBBON FUND MANAGEMENT LTD. Investment Fund Manager>35270
BLUE WAVE INVESTMENTS INC. Commodity Trading Manager>56660
BLUENOSE INVESTMENT MANAGEMENT INC. Portfolio Manager>14820
BLUESKY INVESTMENT COUNSEL INC. Portfolio Manager>56080
BMO ASSET MANAGEMENT INC./BMO GESTION D'ACTIFS INC. Investment Fund Manager>1850
BMO ASSET MANAGEMENT INC./BMO GESTION D'ACTIFS INC. Commodity Trading Manager>1850
BMO ASSET MANAGEMENT INC./BMO GESTION D'ACTIFS INC. Portfolio Manager>1850
BMO ASSET MANAGEMENT INC./BMO GESTION D'ACTIFS INC. Exempt Market Dealer>1850
BMO INVESTMENTS INC./BMO INVESTISSEMENTS INC. Investment Fund Manager>550
BMO INVESTMENTS INC./BMO INVESTISSEMENTS INC. Mutual Fund Dealer>550
BMO INVESTORLINE INC./BMO LIGNE D'ACTION INC. Investment Dealer>250
BMO NESBITT BURNS INC. Investment Fund Manager>2580
BMO NESBITT BURNS INC. Futures Commission Merchant>2580
BMO NESBITT BURNS INC. Investment Dealer>2580
BMO PRIVATE INVESTMENT COUNSEL INC./BMO GESTION PRIVEE DE PLACEMENTS INC.
Commodity Trading Counsel>1810
BMO PRIVATE INVESTMENT COUNSEL INC./BMO GESTION PRIVEE DE PLACEMENTS INC.
Commodity Trading Manager>1810
BMO PRIVATE INVESTMENT COUNSEL INC./BMO GESTION PRIVEE DE PLACEMENTS INC.
Portfolio Manager>1810
BMO PRIVATE INVESTMENT COUNSEL INC./BMO GESTION PRIVEE DE PLACEMENTS INC.
Exempt Market Dealer>1810
BMO PRIVATE INVESTMENT COUNSEL INC./BMO GESTION PRIVEE DE PLACEMENTS INC.
Investment Fund Manager>1810
BNP PARIBAS (CANADA) VALEURS MOBILIERES INC./BNP PARIBAS (CANADA) SECURITIES INC.
Investment Dealer>23310
BNY MELLON ASSET MANAGEMENT CANADA LTD. Commodity Trading Manager>6140
BNY MELLON ASSET MANAGEMENT CANADA LTD. Investment Fund Manager>6140
9
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
BNY MELLON ASSET MANAGEMENT CANADA LTD. Portfolio Manager>6140
BNY MELLON ASSET MANAGEMENT CANADA LTD. Exempt Market Dealer>6140
BNY MELLON WEALTH MANAGEMENT, ADVISORY SERVICES, INC. Investment Fund Manager>5810
BNY MELLON WEALTH MANAGEMENT, ADVISORY SERVICES, INC. Exempt Market Dealer>5810
BNY MELLON WEALTH MANAGEMENT, ADVISORY SERVICES, INC. Portfolio Manager>5810
BOLTON CAPITAL CANADA INC. Exempt Market Dealer>46550
BOLTON CAPITAL CANADA INC. Investment Fund Manager>46550
BOLTON CAPITAL CANADA INC. Portfolio Manager>46550
BONWICK CAPITAL PARTNERS, LLC Exempt Market Dealer>49210
BORDEAUX CAPITAL INC. Exempt Market Dealer>53840
BOWMONT CAPITAL AND ADVISORY LTD. Exempt Market Dealer>34800
BRANDES INVESTMENT PARTNERS & CO. Investment Fund Manager>7570
BRANDES INVESTMENT PARTNERS & CO. Portfolio Manager>7570
BRANDES INVESTMENT PARTNERS & CO. Exempt Market Dealer>7570
BRANDES INVESTMENT PARTNERS & CO. Mutual Fund Dealer>7570
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT (CANADA), ULC
Portfolio Manager>6360
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT (CANADA), ULC
Exempt Market Dealer>6360
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT (CANADA), ULC
Investment Fund Manager>6360
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT (CANADA), ULC
Commodity Trading Manager>6360
BRANT SECURITIES LIMITED Investment Dealer>300
BRETON HILL CAPITAL LTD. Commodity Trading Manager>32370
BRETON HILL CAPITAL LTD. Investment Fund Manager>32370
BRETON HILL CAPITAL LTD. Portfolio Manager>32370
BRETON HILL CAPITAL LTD. Exempt Market Dealer>32370
BRIDGEPORT ASSET MANAGEMENT INC. Investment Fund Manager>25060
BRIDGEPORT ASSET MANAGEMENT INC. Portfolio Manager>25060
BRIDGEPORT ASSET MANAGEMENT INC. Exempt Market Dealer>25060
BRIDGEWATER ASSOCIATES, LP Commodity Trading Manager>21400
BRIDGEWATER ASSOCIATES, LP Portfolio Manager>21400
BRIDGING FINANCE INC. Exempt Market Dealer>44620
BRIDGING FINANCE INC. Restricted Portfolio Manager>44620
BRISTOL GATE CAPITAL PARTNERS INC. Investment Fund Manager>23210
BRISTOL GATE CAPITAL PARTNERS INC. Portfolio Manager>23210
BRISTOL GATE CAPITAL PARTNERS INC. Exempt Market Dealer>23210
BRIX RCR INC. Exempt Market Dealer>42230
10
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
BROADVIEW CAPITAL MANAGEMENT INC. Investment Fund Manager>29090
BROADVIEW CAPITAL MANAGEMENT INC. Portfolio Manager>29090
BROADVIEW CAPITAL MANAGEMENT INC. Exempt Market Dealer>29090
BROMMA ASSET MANAGEMENT INC. Investment Fund Manager>56680
BROMMA ASSET MANAGEMENT INC. Portfolio Manager>56680
BROMMA ASSET MANAGEMENT INC. Exempt Market Dealer>56680
BROMPTON FUNDS LIMITED Portfolio Manager>37530
BROMPTON FUNDS LIMITED Exempt Market Dealer>37530
BROMPTON FUNDS LIMITED Commodity Trading Manager>37530
BROMPTON FUNDS LIMITED Investment Fund Manager>37530
BROOK CAPITAL CORPORATION Exempt Market Dealer>4790
BROOKFIELD FINANCIAL SECURITIES LP Investment Dealer>52080
BROOKFIELD INVESTMENT MANAGEMENT (CANADA) INC. Portfolio Manager>22390
BROOKFIELD INVESTMENT MANAGEMENT (CANADA) INC. Exempt Market Dealer>22390
BROOKFIELD INVESTMENT MANAGEMENT (CANADA) INC. Investment Fund Manager>22390
BROOKFIELD INVESTMENT MANAGEMENT INC. Commodity Trading Manager>21490
BROOKFIELD INVESTMENT MANAGEMENT INC. Portfolio Manager>21490
BROOKVEST CAPITAL CORPORATION Exempt Market Dealer>40310
BSM CAPITAL CORPORATION Exempt Market Dealer>27360
BT CROISSANCE GLOBALE / BT GLOBAL GROWTH INC. Portfolio Manager>34190
BT CROISSANCE GLOBALE / BT GLOBAL GROWTH INC. Exempt Market Dealer>34190
BT CROISSANCE GLOBALE / BT GLOBAL GROWTH INC. Investment Fund Manager>34190
BUILDERS CAPITAL MANAGEMENT CORP. Exempt Market Dealer>36850
BULL CAPITAL MANAGEMENT INC./ GESTION DE CAPITAUX BULL INC
Investment Fund Manager>24930
BULL CAPITAL MANAGEMENT INC./ GESTION DE CAPITAUX BULL INC
Portfolio Manager>24930
BULL CAPITAL MANAGEMENT INC./ GESTION DE CAPITAUX BULL INC
Exempt Market Dealer>24930
BULLION MANAGEMENT SERVICES INC. Investment Fund Manager>34690
BULLION MARKETING SERVICES INC. Exempt Market Dealer>21450
BURGUNDY ASSET MANAGEMENT LTD./GESTION D'ACTIFS BURGUNDY LTEE
Investment Fund Manager>360
BURGUNDY ASSET MANAGEMENT LTD./GESTION D'ACTIFS BURGUNDY LTEE
Portfolio Manager>360
BURKETT ASSET MANAGEMENT LIMITED Portfolio Manager>50550
BURLINGTON CAPITAL MANAGEMENT LTD. Investment Fund Manager>18790
BURLINGTON CAPITAL MANAGEMENT LTD. Portfolio Manager>18790
BURLINGTON CAPITAL MANAGEMENT LTD. Exempt Market Dealer>18790
11
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
BUSH ASSOCIES LTEE / BUSH ASSOCIATES LTD Portfolio Manager>19180
12
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
C.S.T. CONSULTANTS INC./CONSULTANTS C.S.T. INC. Investment Fund Manager>790
C.S.T. CONSULTANTS INC./CONSULTANTS C.S.T. INC. Scholarship Plan Dealer>790
CADO INVESTMENT FUND MANAGEMENT INC. Investment Fund Manager>34050
CALDWELL INVESTMENT MANAGEMENT LTD. Investment Fund Manager>6930
CALDWELL INVESTMENT MANAGEMENT LTD. Portfolio Manager>6930
CALDWELL SECURITIES LTD. Investment Dealer>750
CALEDON CAPITAL MANAGEMENT INC. Exempt Market Dealer>29280
CALEDON CAPITAL MANAGEMENT INC. Portfolio Manager>29280
CALLIDUS CAPITAL CORPORATION Investment Fund Manager>41450
CALLIDUS CAPITAL CORPORATION Exempt Market Dealer>41450
CALROSSIE INVESTMENT MANAGEMENT INC. Exempt Market Dealer>25680
CALROSSIE INVESTMENT MANAGEMENT INC. Investment Fund Manager>25680
CALROSSIE INVESTMENT MANAGEMENT INC. Portfolio Manager>25680
CAMBRIDGE ASSOCIATES LIMITED, LLC Investment Fund Manager>48660
CAMBRIDGE ASSOCIATES LIMITED, LLC Portfolio Manager>48660
CAMBRIDGE ASSOCIATES LIMITED, LLC Exempt Market Dealer>48660
CAMERON STEPHENS SECURITIES LTD. Exempt Market Dealer>43180
CAMPBELL, LEE & ROSS INVESTMENT MANAGEMENT INC. Portfolio Manager>10320
CANACCORD ASSET MANAGEMENT INC./CANACCORD GESTION D'ACTIFS INC.
Exempt Market Dealer>25790
CANACCORD GENUITY CORP./CORPORATION CANACCORD GENUITY
Investment Dealer>900
CANADIAN RESOURCES CAPITAL CORPORATION Exempt Market Dealer>40220
CANADIAN SHAREOWNER INVESTMENTS INC. / INVESTISSEMENTS ACTIONNAIRES CANADIENS INC.
Investment Fund Manager>9180
CANADIAN SHAREOWNER INVESTMENTS INC. / INVESTISSEMENTS ACTIONNAIRES CANADIENS INC.
Investment Dealer>9180
CANDEAL.CA INC Investment Dealer>11860
CANDOR FINANCIAL GROUP INC. Mutual Fund Dealer>6650
CANFIN MAGELLAN INVESTMENTS INC. Exempt Market Dealer>6870
CANFIN MAGELLAN INVESTMENTS INC. Mutual Fund Dealer>6870
CANOE FINANCIAL LP Exempt Market Dealer>32950
CANOE FINANCIAL LP Investment Fund Manager>32950
CANOE FINANCIAL LP Portfolio Manager>32950
CANSO FUND MANAGEMENT LTD. Investment Fund Manager>34570
CANSO INVESTMENT COUNSEL LTD. Portfolio Manager>7190
CANSO INVESTMENT COUNSEL LTD. Exempt Market Dealer>7190
CANTOR FITZGERALD CANADA CORPORATION Investment Dealer>24390
CAPITAL CANADA LIMITED Exempt Market Dealer>580
13
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
CAPITAL CCFL S.E.N.C. Exempt Market Dealer>34270
CAPITAL INTERNATIONAL ASSET MANAGEMENT (CANADA),INC. Exempt Market Dealer>10500
CAPITAL INTERNATIONAL ASSET MANAGEMENT (CANADA),INC. Investment Fund Manager>10500
CAPITAL INTERNATIONAL ASSET MANAGEMENT (CANADA),INC. Portfolio Manager>10500
CAPITAL STREET GROUP INVESTMENT SERVICES, INC. Exempt Market Dealer>25970
CAPSTONE ASSET MANAGEMENT INC. Investment Fund Manager>16770
CAPSTONE ASSET MANAGEMENT INC. Exempt Market Dealer>16770
CAPSTONE ASSET MANAGEMENT INC. Portfolio Manager>16770
CARDINAL CAPITAL MANAGEMENT INC. Investment Fund Manager>12920
CARDINAL CAPITAL MANAGEMENT INC. Portfolio Manager>12920
CARDINAL POINT CAPITAL MANAGEMENT INC. Portfolio Manager>14810
CARTE WEALTH MANAGEMENT INC. Exempt Market Dealer>24540
CARTE WEALTH MANAGEMENT INC. Mutual Fund Dealer>24540
CASGRAIN & COMPAGNIE LIMITEE / CASGRAIN & COMPANY LIMITED
Investment Dealer>990
CASSELS INVESTMENT MANAGEMENT INC. Portfolio Manager>9500
CASSIO CAPITAL PARTNERS INC. Exempt Market Dealer>50630
CASTLE RIDGE ASSET MANAGEMENT LIMITED Investment Fund Manager>52910
CASTLE RIDGE ASSET MANAGEMENT LIMITED Exempt Market Dealer>52910
CASTLE RIDGE ASSET MANAGEMENT LIMITED Portfolio Manager>52910
CASTLEBAY WEALTH MANAGEMENT INC. Portfolio Manager>54260
CASTLEMOORE INC. Portfolio Manager>20640
CELERNUS INVESTMENT PARTNERS INC. Investment Fund Manager>38730
CELERNUS INVESTMENT PARTNERS INC. Portfolio Manager>38730
CENTURION ASSET MANAGEMENT INC. Restricted Portfolio Manager>32750
CENTURION ASSET MANAGEMENT INC. Investment Fund Manager>32750
CENTURION ASSET MANAGEMENT INC. Exempt Market Dealer>32750
CERTUS WEALTH MANAGEMENT INC. Portfolio Manager>7940
CGOV ASSET MANAGEMENT Investment Fund Manager>5590
CGOV ASSET MANAGEMENT Portfolio Manager>5590
CGOV ASSET MANAGEMENT Exempt Market Dealer>5590
CHEVERNY CAPITAL INC. Exempt Market Dealer>54890
CHIEFSWOOD INVESTMENT MANAGEMENT INC. Portfolio Manager>11180
CHILDREN'S EDUCATION FUNDS INC./FONDS D'ETUDES POUR LES ENFANTS INC.
Investment Fund Manager>1180
CHILDREN'S EDUCATION FUNDS INC./FONDS D'ETUDES POUR LES ENFANTS INC.
Scholarship Plan Dealer>1180
14
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
CHIPPINGHAM FINANCIAL GROUP LIMITED/GROUPE FINANCIER CHIPPINGHAM LIMITEE
Futures Commission Merchant>11370
CHIPPINGHAM FINANCIAL GROUP LIMITED/GROUPE FINANCIER CHIPPINGHAM LIMITEE
Investment Dealer>11370
CHOU ASSOCIATES MANAGEMENT INC. Investment Fund Manager>600
CHOU ASSOCIATES MANAGEMENT INC. Portfolio Manager>600
CHOU ASSOCIATES MANAGEMENT INC. Exempt Market Dealer>600
CHS ASSET MANAGEMENT INC. Investment Fund Manager>28660
CHS ASSET MANAGEMENT INC. Portfolio Manager>28660
CHS ASSET MANAGEMENT INC. Exempt Market Dealer>28660
CI INVESTMENTS INC. Investment Fund Manager>28980
CI INVESTMENTS INC. Exempt Market Dealer>28980
CI INVESTMENTS INC. Commodity Trading Manager>28980
CI INVESTMENTS INC. Commodity Trading Counsel>28980
CI INVESTMENTS INC. Portfolio Manager>28980
CI PRIVATE COUNSEL LP Portfolio Manager>21800
CI PRIVATE COUNSEL LP Exempt Market Dealer>21800
CIBC ASSET MANAGEMENT INC./GESTION D'ACTIFS CIBC INC. Investment Fund Manager>3660
CIBC ASSET MANAGEMENT INC./GESTION D'ACTIFS CIBC INC. Commodity Trading Manager>3660
CIBC ASSET MANAGEMENT INC./GESTION D'ACTIFS CIBC INC. Portfolio Manager>3660
CIBC INVESTOR SERVICES INC./ SERVICES INVESTISSEURS CIBC INC.
Investment Dealer>5380
CIBC SECURITIES INC./PLACEMENTS CIBC INC. Mutual Fund Dealer>11100
CIBC WORLD MARKETS INC./MARCHES MONDIAUX CIBC INC. Futures Commission Merchant>3850
CIBC WORLD MARKETS INC./MARCHES MONDIAUX CIBC INC. Investment Dealer>3850
CIDEL ASSET MANAGEMENT INC. Investment Fund Manager>3690
CIDEL ASSET MANAGEMENT INC. Commodity Trading Manager>3690
CIDEL ASSET MANAGEMENT INC. Portfolio Manager>3690
CIDEL ASSET MANAGEMENT INC. Exempt Market Dealer>3690
CINAPORT CAPITAL INC. Investment Fund Manager>31900
CINAPORT CAPITAL INC. Portfolio Manager>31900
CINAPORT CAPITAL INC. Exempt Market Dealer>31900
CIT GROUP SECURITIES (CANADA) INC. Investment Dealer>5430
CITADEL SECURITIES CANADA ULC Investment Dealer>49280
CITCO SECURITIES INC. Exempt Market Dealer>41230
CITIBANK CANADA INVESTMENT FUNDS LIMITED / FONDS D'INVESTISSEMENT DE CITIBANQUE CANADA
Portfolio Manager>4920
CITIBANK CANADA INVESTMENT FUNDS LIMITED / FONDS D'INVESTISSEMENT DE CITIBANQUE CANADA
Exempt Market Dealer>4920
15
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
CITIBANK CANADA INVESTMENT FUNDS LIMITED / FONDS D'INVESTISSEMENT DE CITIBANQUE CANADA
Mutual Fund Dealer>4920
CITIGROUP GLOBAL MARKETS CANADA INC. / MARCHES MONDIAUX CITIGROUP CANADA INC.
Investment Dealer>3360
CLAIRWOOD CAPITAL MANAGEMENT INC. Portfolio Manager>37640
CLAIRWOOD CAPITAL MANAGEMENT INC. Exempt Market Dealer>37640
CLAIRWOOD CAPITAL MANAGEMENT INC. Investment Fund Manager>37640
CLARESTE WEALTH MANAGEMENT INC. Investment Fund Manager>16890
CLARESTE WEALTH MANAGEMENT INC. Portfolio Manager>16890
CLARESTE WEALTH MANAGEMENT INC. Exempt Market Dealer>16890
CLARUS SECURITIES INC / VALEURS MOBILIERES CLARUS INC. Investment Dealer>13160
CLEARWATER CAPITAL MANAGEMENT INC. Portfolio Manager>8880
CLIFTON CAPITAL MANAGEMENT INC. Commodity Trading Manager>50210
CLIFTON CAPITAL MANAGEMENT INC. Investment Fund Manager>50210
CLIFTON CAPITAL MANAGEMENT INC. Portfolio Manager>50210
CLIFTON CAPITAL MANAGEMENT INC. Exempt Market Dealer>50210
CLIMATE CHANGE INFRASTRUCTURE MANAGEMENT INC. Exempt Market Dealer>38960
CMC MARKETS CANADA INC./ MARCHES CMC CANADA Investment Dealer>12570
CMLS ASSET MANAGEMENT LTD Restricted Portfolio Manager>55080
CMLS ASSET MANAGEMENT LTD Investment Fund Manager>55080
CMLS ASSET MANAGEMENT LTD Exempt Market Dealer>55080
COCKFIELD PORRETTI CUNNINGHAM INVESTMENT COUNSEL INC. Portfolio Manager>770
COERENTE CAPITAL MANAGEMENT INC./GESTION CAPITAL COERENTE INC.
Portfolio Manager>41970
COLEFORD INVESTMENT MANAGEMENT LTD. Investment Fund Manager>730
COLEFORD INVESTMENT MANAGEMENT LTD. Portfolio Manager>730
COLLINS BARROW SNT CORPORATE FINANCE INC. Exempt Market Dealer>54080
COLLINS BARROW TORONTO CORPORATE FINANCE INC. Exempt Market Dealer>45070
COMMONFUND ASSET MANAGEMENT COMPANY, INC. Portfolio Manager>9460
COMMUNITY FORWARD FUND ASSISTANCE CORP. / FONDS DE PROGRES COMMUNAUTAIRE SOCIETE DE GESTION
Restricted Dealer>38670
COMMUNITY FORWARD FUND ASSISTANCE CORP. / FONDS DE PROGRES COMMUNAUTAIRE SOCIETE DE GESTION
Investment Fund Manager>38670
COMMUNITY FORWARD FUND ASSISTANCE CORP. / FONDS DE PROGRES COMMUNAUTAIRE SOCIETE DE GESTION
Restricted Portfolio Manager>38670
COMPAGNIE TIMBER HILL CANADA / TIMBER HILL CANADA COMPANY
Investment Dealer>7830
CONDOR ASSET MANAGEMENT INC. Portfolio Manager>29990
CONDOR ASSET MANAGEMENT INC. Exempt Market Dealer>29990
CONNING INVESTMENT PRODUCTS, INC. Portfolio Manager>48850
16
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
CONNOR, CLARK & LUNN FUNDS INC. Investment Fund Manager>33960
CONNOR, CLARK & LUNN FUNDS INC. Exempt Market Dealer>33960
CONNOR, CLARK & LUNN INVESTMENT MANAGEMENT LTD./ GESTION DE PLACEMENTS CONNOR, CLARK & LUNN
Investment Fund Manager>640
CONNOR, CLARK & LUNN INVESTMENT MANAGEMENT LTD./ GESTION DE PLACEMENTS CONNOR, CLARK & LUNN
Commodity Trading Manager>640
CONNOR, CLARK & LUNN INVESTMENT MANAGEMENT LTD./ GESTION DE PLACEMENTS CONNOR, CLARK & LUNN
Portfolio Manager>640
CONNOR, CLARK & LUNN INVESTMENT MANAGEMENT LTD./ GESTION DE PLACEMENTS CONNOR, CLARK & LUNN
Exempt Market Dealer>640
CONNOR, CLARK & LUNN PRIVATE CAPITAL LTD. Investment Fund Manager>14660
CONNOR, CLARK & LUNN PRIVATE CAPITAL LTD. Portfolio Manager>14660
CONNOR, CLARK & LUNN PRIVATE CAPITAL LTD. Exempt Market Dealer>14660
CONSEILLERS EN GESTION GLOBALE STATE STREET LTEE. / STATE STREET GLOBAL ADVISORS, LTD.
Commodity Trading Manager>4700
CONSEILLERS EN GESTION GLOBALE STATE STREET LTEE. / STATE STREET GLOBAL ADVISORS, LTD.
Portfolio Manager>4700
CONSEILLERS EN GESTION GLOBALE STATE STREET LTEE. / STATE STREET GLOBAL ADVISORS, LTD.
Exempt Market Dealer>4700
CONSEILLERS EN GESTION GLOBALE STATE STREET LTEE. / STATE STREET GLOBAL ADVISORS, LTD.
Investment Fund Manager>4700
CONSEILLERS EN GESTION GLOBALE STATE STREET LTEE. / STATE STREET GLOBAL ADVISORS, LTD.
Commodity Trading Counsel>4700
CONSEILLERS GALLIANT S.E.C. / GALLIANT ADVISORS LP Investment Fund Manager>34090
CONSEILLERS GALLIANT S.E.C. / GALLIANT ADVISORS LP Portfolio Manager>34090
CONSEILLERS GALLIANT S.E.C. / GALLIANT ADVISORS LP Exempt Market Dealer>34090
CONTESSA CAPITAL CANADA CORPORATION Exempt Market Dealer>45100
CONVERGENCE BLENDED FINANCE, INC. Restricted Dealer>55230
COPOWER INC. Exempt Market Dealer>56100
CORDIANT CAPITAL INC. Investment Fund Manager>9220
CORDIANT CAPITAL INC. Portfolio Manager>9220
CORDIANT CAPITAL INC. Exempt Market Dealer>9220
CORIEL CAPITAL INC. Portfolio Manager>25910
CORIOLIS CAPITAL LIMITED Exempt Market Dealer>27330
CORIOLIS CAPITAL LIMITED Portfolio Manager>27330
CORMARK SECURITIES INC. / VALEURS MOBILIERES CORMARK INC.
Investment Dealer>10090
CORNERSTONE INVESTMENT COUNSEL LTD. Portfolio Manager>18820
CORNERSTONE INVESTMENT COUNSEL LTD. Investment Fund Manager>18820
CORPORATION FIERA CAPITAL / FIERA CAPITAL CORPORATION Investment Fund Manager>3220
CORPORATION FIERA CAPITAL / FIERA CAPITAL CORPORATION Portfolio Manager>3220
17
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
CORPORATION FIERA CAPITAL / FIERA CAPITAL CORPORATION Exempt Market Dealer>3220
CORPORATION FIERA CAPITAL / FIERA CAPITAL CORPORATION Commodity Trading Manager>3220
CORPORATION GESTION DE PLACEMENTS CLARET / CLARET ASSET MANAGEMENT CORPORATION
Commodity Trading Manager>8130
CORPORATION GESTION DE PLACEMENTS CLARET / CLARET ASSET MANAGEMENT CORPORATION
Investment Fund Manager>8130
CORPORATION GESTION DE PLACEMENTS CLARET / CLARET ASSET MANAGEMENT CORPORATION
Portfolio Manager>8130
CORTLAND CREDIT GROUP INC. Exempt Market Dealer>44470
CORTLAND CREDIT GROUP INC. Investment Fund Manager>44470
CORTLAND CREDIT GROUP INC. Portfolio Manager>44470
COTE 100 INC./QUOTE 100 INC. Portfolio Manager>19220
COUGAR GLOBAL INVESTMENTS LIMITED Portfolio Manager>42810
COUNSEL PORTFOLIO SERVICES INC./SERVICES DE PORTEFEUILLE COUNSEL INC.
Commodity Trading Manager>13240
COUNSEL PORTFOLIO SERVICES INC./SERVICES DE PORTEFEUILLE COUNSEL INC.
Investment Fund Manager>13240
COUNSEL PORTFOLIO SERVICES INC./SERVICES DE PORTEFEUILLE COUNSEL INC.
Portfolio Manager>13240
COURTAGE DIRECT BANQUE NATIONALE INC./NATIONAL BANK DIRECT BROKERAGE INC.
Investment Dealer>9190
COVINGTON CAPITAL CORPORATION Exempt Market Dealer>5120
COVINGTON CAPITAL CORPORATION Investment Fund Manager>5120
COVINGTON CAPITAL CORPORATION Portfolio Manager>5120
COVISTA CAPITAL CORP. Exempt Market Dealer>50300
COVISTA CAPITAL CORP. Investment Fund Manager>50300
COVISTA CAPITAL CORP. Portfolio Manager>50300
COWAN ASSET MANAGEMENT LIMITED Investment Fund Manager>45110
COWAN ASSET MANAGEMENT LIMITED Portfolio Manager>45110
COWAN ASSET MANAGEMENT LIMITED Exempt Market Dealer>45110
COXSWAIN ROW CAPITAL CORPORATION Exempt Market Dealer>39370
CQI CAPITAL MANAGEMENT L.P. Commodity Trading Manager>26370
CQI CAPITAL MANAGEMENT L.P. Investment Fund Manager>26370
CQI CAPITAL MANAGEMENT L.P. Portfolio Manager>26370
CQI CAPITAL MANAGEMENT L.P. Exempt Market Dealer>26370
CRANSON CAPITAL SECURITIES INC. Exempt Market Dealer>38430
CREDENTIAL ASSET MANAGEMENT INC. Mutual Fund Dealer>1260
CREDENTIAL SECURITIES INC. Investment Dealer>6190
CREDIT SUISSE SECURITIES (CANADA), INC./VALEURS MOBILIERES CREDIT SUISSE (CANADA), INC.
Futures Commission Merchant>1350
18
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
CREDIT SUISSE SECURITIES (CANADA), INC./VALEURS MOBILIERES CREDIT SUISSE (CANADA), INC.
Investment Dealer>1350
CRESTRIDGE ASSET MANAGEMENT INC. Portfolio Manager>11200
CRIMSON CAPITAL INC. Portfolio Manager>37550
CRIMSON CAPITAL INC. Exempt Market Dealer>37550
CROSBIE & COMPANY INC. Exempt Market Dealer>11920
CROWDMATRIX INC. Exempt Market Dealer>51340
CROWN CAPITAL PARTNERS INC. Investment Fund Manager>21730
CROWN CAPITAL PARTNERS INC. Exempt Market Dealer>21730
CRUSADER ASSET MANAGEMENT INC. Portfolio Manager>40790
CRUSADER ASSET MANAGEMENT INC. Commodity Trading Manager>40790
CRYSTAL WEALTH MANAGEMENT SYSTEM LIMITED Investment Fund Manager>8000
CRYSTAL WEALTH MANAGEMENT SYSTEM LIMITED Commodity Trading Manager>8000
CRYSTAL WEALTH MANAGEMENT SYSTEM LIMITED Portfolio Manager>8000
CRYSTAL WEALTH MANAGEMENT SYSTEM LIMITED Exempt Market Dealer>8000
CTI CAPITAL VALEURS MOBILIERES INC. / CTI CAPITAL SECURITIES INC.
Investment Dealer>25640
CUMBERLAND ASSOCIATES INVESTMENT COUNSEL INC. Portfolio Manager>3890
CUMBERLAND PRIVATE WEALTH MANAGEMENT INC./ CUMBERLAND, GESTION DE PATRIMOINE
Investment Fund Manager>7200
CUMBERLAND PRIVATE WEALTH MANAGEMENT INC./ CUMBERLAND, GESTION DE PATRIMOINE
Investment Dealer>7200
CWB WEALTH MANAGEMENT LTD. Investment Fund Manager>53940
CWB WEALTH MANAGEMENT LTD. Portfolio Manager>53940
CWB WEALTH MANAGEMENT LTD. Exempt Market Dealer>53940
CYGNUS INVESTMENT PARTNERS LP Investment Fund Manager>52070
CYGNUS INVESTMENT PARTNERS LP Portfolio Manager>52070
CYGNUS INVESTMENT PARTNERS LP Exempt Market Dealer>52070
CYPRESS CAPITAL MANAGEMENT LTD. Investment Fund Manager>8990
CYPRESS CAPITAL MANAGEMENT LTD. Portfolio Manager>8990
19
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
D & A LABRECQUE CAPITAL INC Exempt Market Dealer>32010
D.W.GOOD INVESTMENT COMPANY LIMITED Mutual Fund Dealer>14140
DAVINCI CAPITAL PARTNERS INC. Investment Fund Manager>18920
DAVINCI CAPITAL PARTNERS INC. Portfolio Manager>18920
DAVINCI CAPITAL PARTNERS INC. Exempt Market Dealer>18920
DAVIS-REA LTD./DAVIS-REA LTEE. Investment Fund Manager>17810
DAVIS-REA LTD./DAVIS-REA LTEE. Portfolio Manager>17810
DAVIS-REA LTD./DAVIS-REA LTEE. Exempt Market Dealer>17810
DE THOMAS WEALTH MANAGEMENT CORP. Exempt Market Dealer>1050
DE THOMAS WEALTH MANAGEMENT CORP. Mutual Fund Dealer>1050
DEANS KNIGHT CAPITAL MANAGEMENT LTD. / GESTION DE CAPITAL DEANS KNIGHT LTEE
Investment Fund Manager>4300
DEANS KNIGHT CAPITAL MANAGEMENT LTD. / GESTION DE CAPITAL DEANS KNIGHT LTEE
Portfolio Manager>4300
DEANS KNIGHT CAPITAL MANAGEMENT LTD. / GESTION DE CAPITAL DEANS KNIGHT LTEE
Exempt Market Dealer>4300
DEETKEN ASSET MANAGEMENT INC. Investment Fund Manager>44790
DEETKEN ASSET MANAGEMENT INC. Exempt Market Dealer>44790
DELANEY CAPITAL MANAGEMENT LTD. Exempt Market Dealer>1090
DELANEY CAPITAL MANAGEMENT LTD. Investment Fund Manager>1090
DELANEY CAPITAL MANAGEMENT LTD. Portfolio Manager>1090
DELANO CAPITAL CORP. Exempt Market Dealer>28130
DELBROOK CAPITAL ADVISORS INC. Portfolio Manager>32070
DELBROOK CAPITAL ADVISORS INC. Exempt Market Dealer>32070
DELBROOK CAPITAL ADVISORS INC. Investment Fund Manager>32070
DELOITTE CORPORATE FINANCE INC. / FINANCEMENT CORPORATIF DELOITTE INC.
Exempt Market Dealer>8690
DELPHINA ASSET MANAGEMENT INC. Portfolio Manager>17570
DESAUTELS CAPITAL MANAGEMENT INC./GESTION DE CAPITAUX DESAUTELS INC.
Investment Fund Manager>27840
DESAUTELS CAPITAL MANAGEMENT INC./GESTION DE CAPITAUX DESAUTELS INC.
Exempt Market Dealer>27840
DESJARDINS CABINET DE SERVICES FINANCIERS INC./DESJARDINS FINANCIAL SERVICES FIRM INC.
Mutual Fund Dealer>4210
DESJARDINS GESTION INTERNATIONALE D'ACTIFS INC./DESJARDINS GLOBAL ASSET MANAGEMENT INC.
Investment Fund Manager>17990
DESJARDINS GESTION INTERNATIONALE D'ACTIFS INC./DESJARDINS GLOBAL ASSET MANAGEMENT INC.
Commodity Trading Manager>17990
DESJARDINS GESTION INTERNATIONALE D'ACTIFS INC./DESJARDINS GLOBAL ASSET MANAGEMENT INC.
Portfolio Manager>17990
20
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
DESJARDINS GESTION INTERNATIONALE D'ACTIFS INC./DESJARDINS GLOBAL ASSET MANAGEMENT INC.
Exempt Market Dealer>17990
DESJARDINS SECURITE FINANCIERE INVESTISSEMENTS INC./DESJARDINS FINANCIAL SECURITY INVESTMENTS INC.
Mutual Fund Dealer>23430
DESJARDINS SECURITIES INC./VALEURS MOBILIERES DESJARDINS INC.
Futures Commission Merchant>1030
DESJARDINS SECURITIES INC./VALEURS MOBILIERES DESJARDINS INC.
Investment Dealer>1030
DESJARDINS SOCIETE DE PLACEMENT INC. / DESJARDINS INVESTMENTS INC.
Investment Fund Manager>38320
DEUTSCHE BANK SECURITIES LIMITED/DEUTSCHE BANK VALEURS MOBILIERES LIMITEE
Investment Dealer>2180
DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC. Portfolio Manager>26750
DIAM CAPITAL MARKETS INC. Exempt Market Dealer>49680
DICEMARK CAPITAL MARKETS INC. Exempt Market Dealer>46700
DIFFERENCE CAPITAL MANAGEMENT INC. Investment Fund Manager>9120
DIFFERENCE CAPITAL MANAGEMENT INC. Portfolio Manager>9120
DIFFERENCE CAPITAL MANAGEMENT INC. Exempt Market Dealer>9120
DIMENSIONAL FUND ADVISORS CANADA ULC Investment Fund Manager>16190
DIMENSIONAL FUND ADVISORS CANADA ULC Portfolio Manager>16190
DIMENSIONAL FUND ADVISORS CANADA ULC Exempt Market Dealer>16190
DIVERSIFIED GLOBAL ASSET MANAGEMENT CORPORATION Commodity Trading Adviser>22460
DIVERSIFIED GLOBAL ASSET MANAGEMENT CORPORATION Investment Fund Manager>22460
DIVERSIFIED GLOBAL ASSET MANAGEMENT CORPORATION Portfolio Manager>22460
DIVERSIFIED GLOBAL ASSET MANAGEMENT CORPORATION Exempt Market Dealer>22460
DIXON MITCHELL INVESTMENT COUNSEL INC. Investment Fund Manager>14440
DIXON MITCHELL INVESTMENT COUNSEL INC. Exempt Market Dealer>14440
DIXON MITCHELL INVESTMENT COUNSEL INC. Portfolio Manager>14440
DOHENY SECURITIES LIMITED Mutual Fund Dealer>13950
DOHERTY & ASSOCIATES LTD. Portfolio Manager>1010
DOHERTY & ASSOCIATES LTD. Exempt Market Dealer>1010
DOMINICK INC. Investment Dealer>22770
DONRO FINANCIAL LTD. Mutual Fund Dealer>7130
DONVILLE KENT ASSET MANAGEMENT INC. Investment Fund Manager>26430
DONVILLE KENT ASSET MANAGEMENT INC. Portfolio Manager>26430
DONVILLE KENT ASSET MANAGEMENT INC. Exempt Market Dealer>26430
DORCHESTER WEALTH MANAGEMENT COMPANY Investment Fund Manager>51260
DORCHESTER WEALTH MANAGEMENT COMPANY Portfolio Manager>51260
DPN CAPITAL INC. Exempt Market Dealer>55690
21
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
DPS CAPITAL INC. Investment Fund Manager>53610
DPS CAPITAL INC. Portfolio Manager>53610
DPS CAPITAL INC. Exempt Market Dealer>53610
DRADIS CAPITAL MANAGEMENT LIMITED Investment Fund Manager>35950
DRADIS CAPITAL MANAGEMENT LIMITED Portfolio Manager>35950
DRADIS CAPITAL MANAGEMENT LIMITED Exempt Market Dealer>35950
DRIEHAUS CAPITAL MANAGEMENT LLC Portfolio Manager>22340
DUBEAU CAPITAL & CIE LTEE/DUBEAU CAPITAL & CO. LTD Investment Dealer>19280
DUFF & PHELPS SECURITIES CANADA LIMITED/VALEURS MOBILIERES DUFF & PHELPS CANADA LIMITEE
Exempt Market Dealer>21470
DUNCAN ROSS ASSOCIATES LTD. / DUNCAN ROSS ASSOCIES LTEE
Investment Fund Manager>6280
DUNCAN ROSS ASSOCIATES LTD. / DUNCAN ROSS ASSOCIES LTEE
Portfolio Manager>6280
DUNCAN ROSS ASSOCIATES LTD. / DUNCAN ROSS ASSOCIES LTEE
Exempt Market Dealer>6280
DUNDEE SECURITIES LTD./VALEURS MOBILIERES DUNDEE LTEE Investment Dealer>36170
DUROSE ASSET MANAGEMENT INC. Investment Fund Manager>31270
DUROSE ASSET MANAGEMENT INC. Portfolio Manager>31270
DUROSE ASSET MANAGEMENT INC. Exempt Market Dealer>31270
DYNAMIC TREE ASSET MANAGEMENT AG Exempt Market Dealer>36290
DYNAMIC TREE ASSET MANAGEMENT AG Portfolio Manager>36290
22
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
EAST COAST FUND MANAGEMENT INC. Commodity Trading Manager>29950
EAST COAST FUND MANAGEMENT INC. Investment Fund Manager>29950
EAST COAST FUND MANAGEMENT INC. Portfolio Manager>29950
EAST COAST FUND MANAGEMENT INC. Exempt Market Dealer>29950
EAST WEST INVESTMENT MANAGEMENT CORPORATION Exempt Market Dealer>29550
EAST WEST INVESTMENT MANAGEMENT CORPORATION Investment Fund Manager>29550
EAST WEST INVESTMENT MANAGEMENT CORPORATION Commodity Trading Manager>29550
EAST WEST INVESTMENT MANAGEMENT CORPORATION Portfolio Manager>29550
ECHELON WEALTH PARTNERS INC. Investment Dealer>32420
EDE ASSET MANAGEMENT INC. Investment Fund Manager>57450
EDE ASSET MANAGEMENT INC. Portfolio Manager>57450
EDE ASSET MANAGEMENT INC. Exempt Market Dealer>57450
EDGEHILL PARTNERS Exempt Market Dealer>33270
EDGEHILL PARTNERS Investment Fund Manager>33270
EDGEHILL PARTNERS Portfolio Manager>33270
EDGEPOINT INVESTMENT GROUP INC. / GROUPE DE PLACEMENTS EDGEPOINT
Exempt Market Dealer>27490
EDGEPOINT INVESTMENT GROUP INC. / GROUPE DE PLACEMENTS EDGEPOINT
Investment Fund Manager>27490
EDGEPOINT INVESTMENT GROUP INC. / GROUPE DE PLACEMENTS EDGEPOINT
Portfolio Manager>27490
EDGEPOINT WEALTH MANAGEMENT INC. Investment Fund Manager>34580
EDINBURGH PARTNERS LIMITED Portfolio Manager>25270
EDUCATORS FINANCIAL GROUP INC. Investment Fund Manager>2650
EDUCATORS FINANCIAL GROUP INC. Mutual Fund Dealer>2650
EDWARD JONES Investment Dealer>4340
EIGHT CAPITAL Investment Dealer>55180
EKATON WEALTH MANAGEMENT INC. Exempt Market Dealer>42870
ELECTRONIC TRANSACTION CLEARING CANADA, INC. Investment Dealer>42740
ELLEMENTARY CAPITAL LTD. Exempt Market Dealer>56010
ELLEMENTARY CAPITAL LTD. Investment Fund Manager>56010
ELLEMENTARY CAPITAL LTD. Portfolio Manager>56010
ELM PARK CAPITAL MANAGEMENT, LLC Portfolio Manager>35180
ELM PARK CAPITAL MANAGEMENT, LLC Investment Fund Manager>35180
ELM PARK CAPITAL MANAGEMENT, LLC Exempt Market Dealer>35180
EMD FINANCIAL INC. / LA FINANCIERE EMD INC. Exempt Market Dealer>36480
EMERGING EQUITIES INC. Investment Dealer>8640
EMPIRE LIFE INVESTMENTS INC. Exempt Market Dealer>38910
23
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
EMPIRE LIFE INVESTMENTS INC. Commodity Trading Manager>38910
EMPIRE LIFE INVESTMENTS INC. Investment Fund Manager>38910
EMPIRE LIFE INVESTMENTS INC. Portfolio Manager>38910
ENCASA FINANCIAL INC. Investment Fund Manager>31940
ENLIGHTENED PRIVATE CAPITAL INC. Exempt Market Dealer>28680
ENRICHED INVESTING INCORPORATED Investment Fund Manager>16650
ENRICHED INVESTING INCORPORATED Portfolio Manager>16650
ENSIGN CAPITAL INC. Exempt Market Dealer>17660
ENTREPRISES GREG POMPEO INC. Mutual Fund Dealer>27380
ENTRUST FOCUS PARTNERS LP Investment Fund Manager>47640
ENTRUST FOCUS PARTNERS LP Portfolio Manager>47640
EPIC CAPITAL MANAGEMENT INC. Investment Fund Manager>12330
EPIC CAPITAL MANAGEMENT INC. Portfolio Manager>12330
EPIC CAPITAL MANAGEMENT INC. Exempt Market Dealer>12330
EPOCH INVESTMENT PARTNERS, INC. Exempt Market Dealer>29130
EPOCH INVESTMENT PARTNERS, INC. Portfolio Manager>29130
EQUATE ASSET MANAGEMENT INC. Investment Fund Manager>56340
EQUATE ASSET MANAGEMENT INC. Portfolio Manager>56340
EQUATE ASSET MANAGEMENT INC. Exempt Market Dealer>56340
EQUIGENESIS CORPORATION Exempt Market Dealer>6160
EQUILEND CANADA CORP. Investment Dealer>28250
EQUILIBRIUM CAPITAL MANAGEMENT INC. / GESTION DE CAPITAL EQUILIBRIUM
Investment Fund Manager>12110
EQUILIBRIUM CAPITAL MANAGEMENT INC. / GESTION DE CAPITAL EQUILIBRIUM
Portfolio Manager>12110
EQUILIBRIUM CAPITAL MANAGEMENT INC. / GESTION DE CAPITAL EQUILIBRIUM
Exempt Market Dealer>12110
EQUILIFE INVESTMENT MANAGEMENT INC. Portfolio Manager>8160
EQUILIFE INVESTMENT MANAGEMENT INC. Mutual Fund Dealer>8160
EQUINOX INVESTMENT MANAGEMENT LTD. Portfolio Manager>44850
EQUITON CAPITAL INC. Exempt Market Dealer>53400
EQUITY ASSOCIATES INC. Exempt Market Dealer>6940
EQUITY ASSOCIATES INC. Mutual Fund Dealer>6940
EQUIUM CAPITAL MANAGEMENT INC. Investment Fund Manager>56670
EQUIUM CAPITAL MANAGEMENT INC. Portfolio Manager>56670
EQUIUM CAPITAL MANAGEMENT INC. Exempt Market Dealer>56670
ERNST & YOUNG ORENDA CORPORATE FINANCE INC./CONSEIL EN FINANCEMENT ERNST & YOUNG ORENDA INC.
Exempt Market Dealer>5670
ESPRESSO CAPITAL LTD. Exempt Market Dealer>54780
24
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
ETF CAPITAL MANAGEMENT Portfolio Manager>25780
ETF CAPITAL MANAGEMENT Investment Fund Manager>25780
EVENTUS CAPITAL CORP Exempt Market Dealer>52520
EVEREST FINANCIAL PLANNING INC. Mutual Fund Dealer>4960
EWING MORRIS & CO. INVESTMENT PARTNERS LTD. Investment Fund Manager>38130
EWING MORRIS & CO. INVESTMENT PARTNERS LTD. Portfolio Manager>38130
EWING MORRIS & CO. INVESTMENT PARTNERS LTD. Exempt Market Dealer>38130
EXCALIBUR CAPITAL MANAGEMENT INC. Investment Fund Manager>25840
EXCALIBUR CAPITAL MANAGEMENT INC. Portfolio Manager>25840
EXCEL FUNDS MANAGEMENT INC. Investment Fund Manager>29050
EXCEL INVESTMENT COUNSEL INC. Exempt Market Dealer>29740
EXCEL INVESTMENT COUNSEL INC. Portfolio Manager>29740
EXCEL PRIVATE WEALTH INC. Mutual Fund Dealer>19470
EXPONENT INVESTMENT MANAGEMENT INC. Portfolio Manager>37400
25
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
FADINE SECURITIES INC. Exempt Market Dealer>37470
FAIRBANK INVESTMENT MANAGEMENT LIMITED. Investment Fund Manager>29470
FAIRBANK INVESTMENT MANAGEMENT LIMITED. Portfolio Manager>29470
FAIRCOURT ASSET MANAGEMENT INC. Investment Fund Manager>21330
FAIRCOURT ASSET MANAGEMENT INC. Portfolio Manager>21330
FAIRCOURT ASSET MANAGEMENT INC. Exempt Market Dealer>21330
FALCON ASSET MANAGEMENT INC. Exempt Market Dealer>29810
FALCON ASSET MANAGEMENT INC. Investment Fund Manager>29810
FALCON ASSET MANAGEMENT INC. Portfolio Manager>29810
FEDERAL WAY ASSET MANAGEMENT LP Portfolio Manager>40270
FEDERAL WAY ASSET MANAGEMENT LP Investment Fund Manager>40270
FEDERAL WAY ASSET MANAGEMENT LP Exempt Market Dealer>40270
FEDERATED INVESTORS CANADA ULC Investment Fund Manager>52120
FEDERATED INVESTORS CANADA ULC Portfolio Manager>52120
FIDELITY (CANADA) ASSET MANAGEMENT ULC Commodity Trading Manager>26990
FIDELITY (CANADA) ASSET MANAGEMENT ULC Portfolio Manager>26990
FIDELITY CLEARING CANADA ULC / COMPENSATION FIDELITY CANADA
Futures Commission Merchant>28880
FIDELITY CLEARING CANADA ULC / COMPENSATION FIDELITY CANADA
Investment Dealer>28880
FIDELITY INVESTMENTS CANADA ULC / INVESTISSEMENTS FIDELITY CANADA
Investment Fund Manager>17240
FIDELITY INVESTMENTS CANADA ULC / INVESTISSEMENTS FIDELITY CANADA
Commodity Trading Manager>17240
FIDELITY INVESTMENTS CANADA ULC / INVESTISSEMENTS FIDELITY CANADA
Portfolio Manager>17240
FIDELITY INVESTMENTS CANADA ULC / INVESTISSEMENTS FIDELITY CANADA
Mutual Fund Dealer>17240
FIDUCIARY TRUST COMPANY OF CANADA Commodity Trading Manager>17980
FIDUCIARY TRUST COMPANY OF CANADA Portfolio Manager>17980
FIELDHOUSE CAPITAL MANAGEMENT INC. Investment Fund Manager>28950
FIELDHOUSE CAPITAL MANAGEMENT INC. Commodity Trading Manager>28950
FIELDHOUSE CAPITAL MANAGEMENT INC. Portfolio Manager>28950
FIELDHOUSE CAPITAL MANAGEMENT INC. Exempt Market Dealer>28950
FIERA CAPITAL FUNDS INC./FONDS FIERA CAPITAL INC. Mutual Fund Dealer>11150
FINANCIAL DECISIONS INC. Mutual Fund Dealer>8170
FINANCIERE DES PROFESSIONNELS - FONDS D'INVESTISSEMENT INC./PROFESSIONALS' FINANCIAL - MUTUAL FUNDS INC.
Investment Fund Manager>19350
FINANCIERE DES PROFESSIONNELS GESTION PRIVEE INC. / PROFESSIONALS' FINANCIAL - PRIVATE MANAGEMENT INC.
Investment Dealer>19310
26
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
FIRM CAPITAL SECURITIES CORP. Exempt Market Dealer>42070
FIRST AFFILIATED SECURITIES INC. Exempt Market Dealer>1410
FIRST AFFILIATED SECURITIES INC. Mutual Fund Dealer>1410
FIRST ASSET INVESTMENT MANAGEMENT INC. Investment Fund Manager>8190
FIRST ASSET INVESTMENT MANAGEMENT INC. Commodity Trading Manager>8190
FIRST ASSET INVESTMENT MANAGEMENT INC. Portfolio Manager>8190
FIRST ASSET INVESTMENT MANAGEMENT INC. Exempt Market Dealer>8190
FIRST CANADIAN PROPERTY INVESTMENTS LTD. Exempt Market Dealer>4060
FIRST RELIANCE ASSET MANAGEMENT INC. Exempt Market Dealer>35590
FIRST REPUBLIC CAPITAL CORPORATION Exempt Market Dealer>27270
FIRST TRUST ADVISORS L.P. Portfolio Manager>4670
FISGARD ASSET MANAGEMENT CORPORATION Exempt Market Dealer>28410
FISHER ASSET MANAGEMENT, LLC Portfolio Manager>21170
FOCUS ASSET MANAGEMENT LTD. Investment Fund Manager>29800
FOCUS ASSET MANAGEMENT LTD. Portfolio Manager>29800
FOREMOST CAPITAL INC. Exempt Market Dealer>43390
FOREMOST FINANCIAL CORPORATION Exempt Market Dealer>34710
FORESTERS ASSET MANAGEMENT INC. /GESTION D'ACTIFS FORESTERS INC.
Investment Fund Manager>11020
FORESTERS ASSET MANAGEMENT INC. /GESTION D'ACTIFS FORESTERS INC.
Portfolio Manager>11020
FORESTERS ASSET MANAGEMENT INC. /GESTION D'ACTIFS FORESTERS INC.
Exempt Market Dealer>11020
FORESTERS FINANCIAL INVESTMENT MANAGEMENT COMPANY OF CANADA INC. /SOCIETE DE GESTION DE PLACEMENTS FINANCIERS CANADIENS FORESTERS INC.
Investment Fund Manager>33880
FORGE FIRST ASSET MANAGEMENT INC. Investment Fund Manager>40080
FORGE FIRST ASSET MANAGEMENT INC. Portfolio Manager>40080
FORGE FIRST ASSET MANAGEMENT INC. Exempt Market Dealer>40080
FORMULA GROWTH LIMITED / FORMULA GROWTH, SOCIETE LIMITEE
Investment Fund Manager>17160
FORMULA GROWTH LIMITED / FORMULA GROWTH, SOCIETE LIMITEE
Exempt Market Dealer>17160
FORSTAR CAPITAL LIMITED Exempt Market Dealer>24280
FORSTRONG GLOBAL ASSET MANAGEMENT INC. Portfolio Manager>12120
FOSTER & ASSOCIATES FINANCIAL SERVICES INC./ SERVICES FINANCIERS FOSTER & ASSOCIES
Investment Dealer>5000
FOUNDATION MARKETS INC. Exempt Market Dealer>22830
FOUNDATION WEALTH PARTNERS LP Portfolio Manager>56240
FOUNDATION WEALTH PARTNERS LP Exempt Market Dealer>56240
27
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
FOX COLLINS SECURITIES INC. Exempt Market Dealer>33510
FOYSTON, GORDON & PAYNE INC. Investment Fund Manager>1290
FOYSTON, GORDON & PAYNE INC. Portfolio Manager>1290
FOYSTON, GORDON & PAYNE INC. Exempt Market Dealer>1290
FRAME GLOBAL ASSET MANAGEMENT LIMITED Portfolio Manager>52890
FRANKLIN TEMPLETON INVESTMENTS CORP./SOCIETE DE PLACEMENTS FRANKLIN TEMPLETON
Mutual Fund Dealer>3600
FRANKLIN TEMPLETON INVESTMENTS CORP./SOCIETE DE PLACEMENTS FRANKLIN TEMPLETON
Commodity Trading Manager>3600
FRANKLIN TEMPLETON INVESTMENTS CORP./SOCIETE DE PLACEMENTS FRANKLIN TEMPLETON
Exempt Market Dealer>3600
FRANKLIN TEMPLETON INVESTMENTS CORP./SOCIETE DE PLACEMENTS FRANKLIN TEMPLETON
Investment Fund Manager>3600
FRANKLIN TEMPLETON INVESTMENTS CORP./SOCIETE DE PLACEMENTS FRANKLIN TEMPLETON
Portfolio Manager>3600
FREEDOM INTERNATIONAL BROKERAGE COMPANY Exempt Market Dealer>1360
FREETHINK CAPITAL INC. Investment Fund Manager>48250
FREETHINK CAPITAL INC. Exempt Market Dealer>48250
FRIEDBERG ADVISORS LP Portfolio Manager>35630
FRIEDBERG MERCANTILE GROUP LTD. / GROUPE FRIEDBERG MERCANTILE
Futures Commission Merchant>1310
FRIEDBERG MERCANTILE GROUP LTD. / GROUPE FRIEDBERG MERCANTILE
Investment Dealer>1310
FRONT STREET CAPITAL 2004 Exempt Market Dealer>31380
FRONT STREET CAPITAL 2004 Investment Fund Manager>31380
FRONT STREET CAPITAL 2004 Portfolio Manager>31380
FRONTFOUR CAPITAL CORP. Portfolio Manager>36600
FRONTFOUR CAPITAL CORP. Investment Fund Manager>36600
FRONTFOUR CAPITAL CORP. Exempt Market Dealer>36600
FRONTWATER CAPITAL INC. Commodity Trading Manager>29200
FRONTWATER CAPITAL INC. Portfolio Manager>29200
FRONTWATER CAPITAL INC. Exempt Market Dealer>29200
FT PORTFOLIOS CANADA CO./SOCIETE DE GESTION DE PORTEFEUILLES FT CANADA
Investment Fund Manager>5300
FT PORTFOLIOS CANADA CO./SOCIETE DE GESTION DE PORTEFEUILLES FT CANADA
Mutual Fund Dealer>5300
FTC INVESTOR SERVICES INC. / SERVICES AUX INVESTISSEURS FTC INC.
Mutual Fund Dealer>18200
FULCRA ASSET MANAGEMENT INC. Investment Fund Manager>28420
FULCRA ASSET MANAGEMENT INC. Exempt Market Dealer>28420
FULCRA ASSET MANAGEMENT INC. Portfolio Manager>28420
28
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
FUNDEX INVESTMENTS INC. Exempt Market Dealer>24080
FUNDEX INVESTMENTS INC. Mutual Fund Dealer>24080
FUNDS DIRECT CANADA INC. Mutual Fund Dealer>13520
FUNDSCRAPER CAPITAL INC. Exempt Market Dealer>53460
FURTHER CAPITAL PARTNERS LTD. Exempt Market Dealer>50400
29
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
GAIN CAPITAL - FOREX.COM CANADA LTD. Investment Dealer>38580
GALIBIER CAPITAL MANAGEMENT LTD. Investment Fund Manager>39660
GALIBIER CAPITAL MANAGEMENT LTD. Portfolio Manager>39660
GALILEO GLOBAL EQUITY ADVISORS INC. Investment Fund Manager>9470
GALILEO GLOBAL EQUITY ADVISORS INC. Portfolio Manager>9470
GALILEO GLOBAL EQUITY ADVISORS INC. Exempt Market Dealer>9470
GARIBALDI CAPITAL ADVISORS LTD. Exempt Market Dealer>45260
GE CAPITAL MARKETS (CANADA) COMPANY/GE MARCHES FINANCIERS (CANADA) COMPAGNIE
Exempt Market Dealer>24900
GEMINI ASSET MANAGEMENT INC. Investment Fund Manager>22950
GEMINI ASSET MANAGEMENT INC. Portfolio Manager>22950
GEMINI ASSET MANAGEMENT INC. Exempt Market Dealer>22950
GENERATION CAPITAL MANAGEMENT INC. Portfolio Manager>37330
GENERIC CAPITAL CORPORATION Exempt Market Dealer>30140
GENOVA PRIVATE MANAGEMENT INC. Portfolio Manager>24030
GENUS CAPITAL MANAGEMENT INC. / GESTION DE FONDS GENUS Investment Fund Manager>4520
GENUS CAPITAL MANAGEMENT INC. / GESTION DE FONDS GENUS Exempt Market Dealer>4520
GENUS CAPITAL MANAGEMENT INC. / GESTION DE FONDS GENUS Portfolio Manager>4520
GEORGIAN CAPITAL PARTNERS CORPORATION Investment Fund Manager>30090
GEORGIAN CAPITAL PARTNERS CORPORATION Portfolio Manager>30090
GEORGIAN CAPITAL PARTNERS CORPORATION Exempt Market Dealer>30090
GESTION CRISTALLIN INC./CRYSTALLINE MANAGEMENT INC. Investment Fund Manager>18620
GESTION CRISTALLIN INC./CRYSTALLINE MANAGEMENT INC. Portfolio Manager>18620
GESTION CRISTALLIN INC./CRYSTALLINE MANAGEMENT INC. Exempt Market Dealer>18620
GESTION D'ACTIFS LESTER INC. / LESTER ASSET MANAGEMENT INC.
Investment Fund Manager>19800
GESTION D'ACTIFS LESTER INC. / LESTER ASSET MANAGEMENT INC.
Exempt Market Dealer>19800
GESTION D'ACTIFS LESTER INC. / LESTER ASSET MANAGEMENT INC.
Portfolio Manager>19800
GESTION D'ACTIFS NOMURA USA INC. / NOMURA ASSET MANAGEMENT U.S.A. INC.
Portfolio Manager>20010
GESTION D'ACTIFS SECTORIELS INC. / SECTORAL ASSET MANAGEMENT INC.
Portfolio Manager>19820
GESTION D'ACTIFS SECTORIELS INC. / SECTORAL ASSET MANAGEMENT INC.
Exempt Market Dealer>19820
GESTION DE CAPITAUX ROTHENBERG INC. / ROTHENBERG CAPITAL MANAGEMENT INC.
Investment Dealer>5170
GESTION DE PATRIMOINE BLUE BRIDGE INC. / BLUE BRIDGE WEALTH MANAGEMENT INC.
Portfolio Manager>31240
30
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
GESTION DE PLACEMENTS ETERNA INC./ETERNA INVESTMENT MANAGEMENT INC.
Investment Fund Manager>20260
GESTION DE PLACEMENTS ETERNA INC./ETERNA INVESTMENT MANAGEMENT INC.
Portfolio Manager>20260
GESTION DE PLACEMENTS HELENE DION INC./HELENE DION INVESTMENT MANAGEMENT INC.
Portfolio Manager>26350
GESTION DE PORTEFEUILLE LANDRY INC. Investment Fund Manager>19940
GESTION DE PORTEFEUILLE LANDRY INC. Portfolio Manager>19940
GESTION DE PORTEFEUILLE TRIASIMA INC./TRIASIMA PORTFOLIO MANAGEMENT INC.
Investment Fund Manager>13610
GESTION DE PORTEFEUILLE TRIASIMA INC./TRIASIMA PORTFOLIO MANAGEMENT INC.
Exempt Market Dealer>13610
GESTION DE PORTEFEUILLE TRIASIMA INC./TRIASIMA PORTFOLIO MANAGEMENT INC.
Portfolio Manager>13610
GESTION FERIQUE Portfolio Manager>34230
GESTION FERIQUE Investment Fund Manager>34230
GESTION HNB-ANCHOR PLACEMENT INC. / HNB-ANCHOR INVESTMENT MANAGEMENT INC.
Portfolio Manager>19790
GESTION PALOS INC. / PALOS MANAGEMENT INC. Exempt Market Dealer>19640
GESTION PALOS INC. / PALOS MANAGEMENT INC. Investment Fund Manager>19640
GESTION PALOS INC. / PALOS MANAGEMENT INC. Portfolio Manager>19640
GESTION PEMBROKE LTEE / PEMBROKE MANAGEMENT LTD. Portfolio Manager>18250
GESTION PLACEMENTS DESJARDINS INC./DESJARDINS INVESTMENT MANAGEMENT INC.
Investment Fund Manager>4310
GESTION PLACEMENTS DESJARDINS INC./DESJARDINS INVESTMENT MANAGEMENT INC.
Portfolio Manager>4310
GESTION PRIVEE DE PLACEMENT PEMBROKE LTEE/PEMBROKE PRIVATE WEALTH MANAGEMENT LTD.
Investment Fund Manager>1560
GESTION PRIVEE DE PLACEMENT PEMBROKE LTEE/PEMBROKE PRIVATE WEALTH MANAGEMENT LTD.
Mutual Fund Dealer>1560
GF SECURITIES (CANADA) COMPANY LIMITED Investment Dealer>49970
GFI INVESTMENT COUNSEL LTD. Investment Fund Manager>25030
GFI INVESTMENT COUNSEL LTD. Portfolio Manager>25030
GFI INVESTMENT COUNSEL LTD. Exempt Market Dealer>25030
GILDER GAGNON HOWE & CO. LLC/GILDER HOWE ET CIE Portfolio Manager>33810
GILLFORD CAPITAL INC. Exempt Market Dealer>29350
GIRARD INVESTOR SERVICES INC./ GIRARD SERVICES AUX INVESTISSEURS INC
Exempt Market Dealer>31620
GIVERNY CAPITAL INC. Investment Fund Manager>17580
GIVERNY CAPITAL INC. Portfolio Manager>17580
GLC ASSET MANAGEMENT GROUP LTD. / GLC GROUPE DE GESTION D'ACTIFS LTEE.
Portfolio Manager>1460
31
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
GLEN UNION CAPITAL INC. Investment Fund Manager>52370
GLEN UNION CAPITAL INC. Portfolio Manager>52370
GLEN UNION CAPITAL INC. Exempt Market Dealer>52370
GLIDEPATH PORTFOLIO SERVICES INC. Portfolio Manager>11360
GLOBAL ALPHA CAPITAL MANAGEMENT LTD. / GESTION D'ACTIFS GLOBAL ALPHA LTEE
Investment Fund Manager>21230
GLOBAL ALPHA CAPITAL MANAGEMENT LTD. / GESTION D'ACTIFS GLOBAL ALPHA LTEE
Portfolio Manager>21230
GLOBAL GROWTH ASSETS INC./LES ACTIFS DE CROISSANCE GLOBAL INC.
Investment Fund Manager>35640
GLOBAL MAXFIN CAPITAL INC. / MAXFIN CAPITAUX GLOBAL Investment Dealer>7250
GLOBAL MAXFIN INVESTMENTS INC. / LES INVESTISSEMENTS GLOBAL MAXFIN INC.
Exempt Market Dealer>9080
GLOBAL MAXFIN INVESTMENTS INC. / LES INVESTISSEMENTS GLOBAL MAXFIN INC.
Scholarship Plan Dealer>9080
GLOBAL MAXFIN INVESTMENTS INC. / LES INVESTISSEMENTS GLOBAL MAXFIN INC.
Mutual Fund Dealer>9080
GLOBAL RESP CORPORATION/CORPORATION REEE GLOBAL Scholarship Plan Dealer>7410
GLOBAL WEALTH BUILDERS LTD. Investment Fund Manager>14400
GLOBAL WEALTH BUILDERS LTD. Portfolio Manager>14400
GLOBEFLEX CAPITAL, LP Portfolio Manager>9650
GLOBEINVEST CAPITAL MANAGEMENT INC. Portfolio Manager>5440
GLOBEVEST CAPITAL LTEE Investment Fund Manager>19540
GLOBEVEST CAPITAL LTEE Portfolio Manager>19540
GLOBEVEST CAPITAL LTEE Exempt Market Dealer>19540
GLUSKIN SHEFF + ASSOCIATES INC. Investment Fund Manager>1450
GLUSKIN SHEFF + ASSOCIATES INC. Commodity Trading Manager>1450
GLUSKIN SHEFF + ASSOCIATES INC. Portfolio Manager>1450
GLUSKIN SHEFF + ASSOCIATES INC. Exempt Market Dealer>1450
GMG PRIVATE COUNSEL INC./SERVICES-CONSEILS PRIVE GMG INC.
Exempt Market Dealer>32140
GMG PRIVATE COUNSEL INC./SERVICES-CONSEILS PRIVE GMG INC.
Portfolio Manager>32140
GMO CANADA LLC / GMO CANADA S.R.L. Exempt Market Dealer>33580
GMP SECURITIES L.P./ GMP VALEURS MOBILIERES S.E.C. Investment Dealer>21980
GMP SECURITIES, LLC Exempt Market Dealer>11190
GOLD INVESTMENT MANAGEMENT LTD. Portfolio Manager>26490
GOLDENWISE CAPITAL MANAGEMENT INC. Portfolio Manager>42990
GOLDENWISE CAPITAL MANAGEMENT INC. Commodity Trading Manager>42990
32
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
GOLDMAN SACHS ASSET MANAGEMENT, L.P. / GESTION D'ACTIFS GOLDMAN SACHS LP
Portfolio Manager>13930
GOLDMAN SACHS ASSET MANAGEMENT, L.P. / GESTION D'ACTIFS GOLDMAN SACHS LP
Commodity Trading Manager>13930
GOLDMAN SACHS CANADA INC. Investment Dealer>9270
GOLDPOINT PARTNERS CANADA GENPAR INC. Investment Fund Manager>34790
GOLDSTEIN FINANCIAL INVESTMENTS INC. Mutual Fund Dealer>7030
GOODMAN & COMPANY, INVESTMENT COUNSEL INC. Exempt Market Dealer>26870
GOODMAN & COMPANY, INVESTMENT COUNSEL INC. Investment Fund Manager>26870
GOODMAN & COMPANY, INVESTMENT COUNSEL INC. Portfolio Manager>26870
GOODREID INVESTMENT COUNSEL CORP./CONSEILLERS EN PLACEMENT GOODREID CORP.
Portfolio Manager>9750
GOODWOOD INC. Investment Fund Manager>9140
GOODWOOD INC. Investment Dealer>9140
GP WEALTH MANAGEMENT CORPORATION Exempt Market Dealer>7990
GP WEALTH MANAGEMENT CORPORATION Mutual Fund Dealer>7990
GRACORP CAPITAL ADVISORS LTD. Exempt Market Dealer>33290
GRAFTON ASSET MANAGEMENT INC. Investment Fund Manager>36890
GRAFTON ASSET MANAGEMENT INC. Exempt Market Dealer>36890
GRANT THORNTON CORPORATE FINANCE INC. Exempt Market Dealer>10650
GRATICULE ASIA MACRO ADVISORS LLC Exempt Market Dealer>50690
GRAVITAS SECURITIES INC. Investment Fund Manager>26260
GRAVITAS SECURITIES INC. Investment Dealer>26260
GRAYHAWK INVESTMENT STRATEGIES INC. Investment Fund Manager>52900
GRAYHAWK INVESTMENT STRATEGIES INC. Portfolio Manager>52900
GRAYHAWK INVESTMENT STRATEGIES INC. Exempt Market Dealer>52900
GRAYLIE MANAGEMENT LIMITED Portfolio Manager>4240
GREENCHIP FINANCIAL CORP. Investment Fund Manager>25690
GREENCHIP FINANCIAL CORP. Portfolio Manager>25690
GREENCHIP FINANCIAL CORP. Exempt Market Dealer>25690
GREENLEAF GROUP INC. Exempt Market Dealer>4050
GREENROCK CAPITAL PARTNERS INC. Investment Fund Manager>27650
GREENROCK CAPITAL PARTNERS INC. Portfolio Manager>27650
GREENSKEEPER ASSET MANAGEMENT INC. Investment Fund Manager>34080
GREENSKEEPER ASSET MANAGEMENT INC. Portfolio Manager>34080
GREENSKEEPER ASSET MANAGEMENT INC. Exempt Market Dealer>34080
GREENSKY CAPITAL INC. Exempt Market Dealer>28840
GREYBROOK SECURITIES INC. Exempt Market Dealer>2150
33
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
GREYPOINT CAPITAL INC. Exempt Market Dealer>41530
GREYPOINT CAPITAL INC. Restricted Portfolio Manager>41530
GREYSTONE MANAGED INVESTMENTS INC./ GESTION DE PLACEMENTS GREYSTONE
Investment Fund Manager>2370
GREYSTONE MANAGED INVESTMENTS INC./ GESTION DE PLACEMENTS GREYSTONE
Portfolio Manager>2370
GREYSTONE MANAGED INVESTMENTS INC./ GESTION DE PLACEMENTS GREYSTONE
Exempt Market Dealer>2370
GROSS SECURITIES CORP. Exempt Market Dealer>42580
GROUNDLAYER CAPITAL INC. Investment Fund Manager>12640
GROUNDLAYER CAPITAL INC. Portfolio Manager>12640
GROUNDLAYER CAPITAL INC. Exempt Market Dealer>12640
GROUPE CLOUTIER INVESTISSEMENTS INC. Mutual Fund Dealer>24770
GROWTH WORKS CAPITAL LTD. Investment Fund Manager>14600
GROWTH WORKS CAPITAL LTD. Exempt Market Dealer>14600
GROWTH WORKS CAPITAL LTD. Portfolio Manager>14600
GROWTH WORKS CAPITAL LTD. Mutual Fund Dealer>14600
GROWTHQUEST CAPITAL INC. Portfolio Manager>7900
GRYPHON CAPITAL CORPORATION/CORPORATION GRYPHON CAPITAL
Exempt Market Dealer>5880
GRYPHON INTERNATIONAL INVESTMENT CORPORATION/CORPORATION PLACEMENT GRYPHON INTERNATIONAL
Investment Fund Manager>5780
GRYPHON INTERNATIONAL INVESTMENT CORPORATION/CORPORATION PLACEMENT GRYPHON INTERNATIONAL
Portfolio Manager>5780
GRYPHON INVESTMENT COUNSEL INC. / CONSEILLERS EN PLACEMENTS GRYPHON INC.
Investment Fund Manager>1480
GRYPHON INVESTMENT COUNSEL INC. / CONSEILLERS EN PLACEMENTS GRYPHON INC.
Portfolio Manager>1480
GUARDIAN CAPITAL ADVISORS LP Exempt Market Dealer>17640
GUARDIAN CAPITAL ADVISORS LP Portfolio Manager>17640
GUARDIAN CAPITAL LP / SOCIETE EN COMMANDITE GUARDIAN CAPITAL
Investment Fund Manager>17650
GUARDIAN CAPITAL LP / SOCIETE EN COMMANDITE GUARDIAN CAPITAL
Exempt Market Dealer>17650
GUARDIAN CAPITAL LP / SOCIETE EN COMMANDITE GUARDIAN CAPITAL
Commodity Trading Manager>17650
GUARDIAN CAPITAL LP / SOCIETE EN COMMANDITE GUARDIAN CAPITAL
Commodity Trading Counsel>17650
GUARDIAN CAPITAL LP / SOCIETE EN COMMANDITE GUARDIAN CAPITAL
Portfolio Manager>17650
GUARDIAN CAPITAL MANAGEMENT LP Portfolio Manager>26140
34
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
GUARDIAN CAPITAL MANAGEMENT LP Exempt Market Dealer>26140
GUARDIAN ETHICAL MANAGEMENT INC. Investment Fund Manager>35060
GWN CAPITAL MANAGEMENT LTD. Commodity Trading Manager>45980
GWN CAPITAL MANAGEMENT LTD. Portfolio Manager>45980
35
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
H & H SECURITIES LIMITED Exempt Market Dealer>4970
HAMBLIN WATSA INVESTMENT COUNSEL LTD. Portfolio Manager>1610
HAMILTON CAPITAL PARTNERS INC. / PARTENAIRES HAMILTON CAPITAL
Investment Fund Manager>29860
HAMILTON CAPITAL PARTNERS INC. / PARTENAIRES HAMILTON CAPITAL
Exempt Market Dealer>29860
HAMILTON CAPITAL PARTNERS INC. / PARTENAIRES HAMILTON CAPITAL
Portfolio Manager>29860
HAMPTON SECURITIES LIMITED Investment Dealer>2890
HANBURY MANAGEMENT LTD. Exempt Market Dealer>16320
HANOVER PRIVATE CLIENT CORPORATION / CORPORATION HANOVER CLIENTELE PRIVEE
Portfolio Manager>8910
HANSBERGER GROWTH INVESTORS, LP Portfolio Manager>48240
HARBOUREDGE ASSET MANAGEMENT CORPORATION Exempt Market Dealer>39970
HARBOURFRONT WEALTH MANAGEMENT INC. Investment Dealer>43480
HARBOURVEST PARTNERS (CANADA) LIMITED Portfolio Manager>49080
HARBOURVEST PARTNERS (CANADA) LIMITED Exempt Market Dealer>49080
HARRINGTON MACMILLAN FUND MANAGEMENT LIMITED Portfolio Manager>40780
HARRINGTON MACMILLAN FUND MANAGEMENT LIMITED Exempt Market Dealer>40780
HARRINGTON MACMILLAN FUND MANAGEMENT LIMITED Investment Fund Manager>40780
HARRIS, BOLDUC & ASSOCIES INC./HARRIS BOLDUC & ASSOCIATES INC.
Portfolio Manager>24890
HARVEST PORTFOLIOS GROUP INC. Portfolio Manager>29540
HARVEST PORTFOLIOS GROUP INC. Investment Fund Manager>29540
HAYWOOD SECURITIES INC. / VALEURS MOBILIERES HAYWOOD INC.
Investment Dealer>1630
HEADSAIL WEALTH MANAGEMENT INCORPORATED Portfolio Manager>48770
HEATHBRIDGE CAPITAL MANAGEMENT LTD. Portfolio Manager>7680
HEATHBRIDGE CAPITAL MANAGEMENT LTD. Exempt Market Dealer>7680
HEATHBRIDGE CAPITAL MANAGEMENT LTD. Investment Fund Manager>7680
HEMISPHERE CAPITAL MANAGEMENT INC. Investment Fund Manager>13510
HEMISPHERE CAPITAL MANAGEMENT INC. Portfolio Manager>13510
HENLEY CAPITAL CORPORATION Portfolio Manager>9900
HENLEY CAPITAL CORPORATION Exempt Market Dealer>9900
HERITAGE EDUCATION FUNDS INC./FONDS D'EDUCATION HERITAGE INC.
Scholarship Plan Dealer>560
HERITAGE EDUCATION FUNDS INC./FONDS D'EDUCATION HERITAGE INC.
Investment Fund Manager>560
HEXAVEST INC. Investment Fund Manager>18060
HEXAVEST INC. Commodity Trading Manager>18060
36
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
HEXAVEST INC. Portfolio Manager>18060
HEXAVEST INC. Exempt Market Dealer>18060
HGC INVESTMENT MANAGEMENT INC. Investment Fund Manager>46180
HGC INVESTMENT MANAGEMENT INC. Portfolio Manager>46180
HGC INVESTMENT MANAGEMENT INC. Exempt Market Dealer>46180
HIGGINS INVESTMENT GROUP INC. Investment Fund Manager>32590
HIGGINS INVESTMENT GROUP INC. Portfolio Manager>32590
HIGGINS INVESTMENT GROUP INC. Exempt Market Dealer>32590
HIGH ROCK CAPITAL MANAGEMENT INC. Portfolio Manager>36150
HIGHLAND CONSULTING ASSOCIATES INTERNATIONAL, INC. Portfolio Manager>50220
HIGHSTREET ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS HIGHSTREET
Commodity Trading Manager>7960
HIGHSTREET ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS HIGHSTREET
Portfolio Manager>7960
HIGHSTREET ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS HIGHSTREET
Exempt Market Dealer>7960
HIGHSTREET ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS HIGHSTREET
Investment Fund Manager>7960
HIGHVIEW ASSET MANAGEMENT LTD. Portfolio Manager>16790
HILLSDALE INVESTMENT MANAGEMENT INC. Portfolio Manager>6130
HILLSDALE INVESTMENT MANAGEMENT INC. Exempt Market Dealer>6130
HILLSDALE INVESTMENT MANAGEMENT INC. Investment Fund Manager>6130
HL EMD LLC Exempt Market Dealer>21310
HMW CAPITAL INC. Exempt Market Dealer>26800
HNW MANAGEMENT INC. / MANAGEMENT HNW Portfolio Manager>36050
HOISINGTON INVESTMENT MANAGEMENT COMPANY Restricted Portfolio Manager>33940
HOLLISWEALTH ADVISORY SERVICES INC. / SERVICES FINANCIERS PATRIMOINE HOLLIS INC.
Exempt Market Dealer>340
HOLLISWEALTH ADVISORY SERVICES INC. / SERVICES FINANCIERS PATRIMOINE HOLLIS INC.
Mutual Fund Dealer>340
HORIZONONE ASSET MANAGEMENT INC. Investment Fund Manager>20370
HORIZONONE ASSET MANAGEMENT INC. Portfolio Manager>20370
HORIZONONE ASSET MANAGEMENT INC. Exempt Market Dealer>20370
HORIZONS ETFS MANAGEMENT (CANADA) INC. Commodity Trading Manager>34630
HORIZONS ETFS MANAGEMENT (CANADA) INC. Commodity Trading Adviser>34630
HORIZONS ETFS MANAGEMENT (CANADA) INC. Portfolio Manager>34630
HORIZONS ETFS MANAGEMENT (CANADA) INC. Exempt Market Dealer>34630
HORIZONS ETFS MANAGEMENT (CANADA) INC. Investment Fund Manager>34630
HOTTINGER ASSET MANAGEMENT CANADA INC. Portfolio Manager>12680
37
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
HOTTINGER ASSET MANAGEMENT CANADA INC. Exempt Market Dealer>12680
HOWARD, BARCLAY & ASSOCIATES LTD. Portfolio Manager>4600
HSBC GLOBAL ASSET MANAGEMENT (CANADA) LIMITED. / GESTION GLOBALE D'ACTIFS HSBC (CANADA) LIMITEE
Exempt Market Dealer>3840
HSBC GLOBAL ASSET MANAGEMENT (CANADA) LIMITED. / GESTION GLOBALE D'ACTIFS HSBC (CANADA) LIMITEE
Investment Fund Manager>3840
HSBC GLOBAL ASSET MANAGEMENT (CANADA) LIMITED. / GESTION GLOBALE D'ACTIFS HSBC (CANADA) LIMITEE
Portfolio Manager>3840
HSBC INVESTMENT FUNDS (CANADA) INC./FONDS D'INVESTISSEMENT HSBC (CANADA) INC.
Mutual Fund Dealer>1680
HSBC PRIVATE WEALTH SERVICES (CANADA) INC./ SERVICES DE GESTION PRIVEE DE PATRIMOINE HSBC (CANADA) INC.
Portfolio Manager>45230
HSBC SECURITIES (CANADA) INC./ VALEURS MOBILIERES HSBC (CANADA) INC.
Investment Dealer>17220
HUB CAPITAL INC. / CAPITAL HUB INC. Exempt Market Dealer>12100
HUB CAPITAL INC. / CAPITAL HUB INC. Mutual Fund Dealer>12100
HUGHESLITTLE INVESTMENT MANAGEMENT LTD. Investment Fund Manager>21050
HUGHESLITTLE INVESTMENT MANAGEMENT LTD. Portfolio Manager>21050
HUGHESLITTLE INVESTMENT MANAGEMENT LTD. Exempt Market Dealer>21050
HYMAS INVESTMENT MANAGEMENT INC. Investment Fund Manager>10260
HYMAS INVESTMENT MANAGEMENT INC. Portfolio Manager>10260
HYMAS INVESTMENT MANAGEMENT INC. Exempt Market Dealer>10260
HYPOSWISS ADVISORS SA Portfolio Manager>51950
38
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
I.A. MICHAEL INVESTMENT COUNSEL LTD. Investment Fund Manager>2270
I.A. MICHAEL INVESTMENT COUNSEL LTD. Portfolio Manager>2270
I.A. MICHAEL INVESTMENT COUNSEL LTD. Exempt Market Dealer>2270
I.G. INVESTMENT MANAGEMENT, LTD. / SOCIETE DE GESTION D'INVESTISSEMENT, I.G. LTEE
Investment Fund Manager>25370
I.G. INVESTMENT MANAGEMENT, LTD. / SOCIETE DE GESTION D'INVESTISSEMENT, I.G. LTEE
Portfolio Manager>25370
IA INVESTMENT COUNSEL INC./IA CONSEIL EN PLACEMENT INC. Investment Fund Manager>4720
IA INVESTMENT COUNSEL INC./IA CONSEIL EN PLACEMENT INC. Portfolio Manager>4720
IA INVESTMENT COUNSEL INC./IA CONSEIL EN PLACEMENT INC. Exempt Market Dealer>4720
IBK CAPITAL CORP. Exempt Market Dealer>1790
IBV CAPITAL LTD. Investment Fund Manager>43140
IBV CAPITAL LTD. Portfolio Manager>43140
IBV CAPITAL LTD. Exempt Market Dealer>43140
ICECAP ASSET MANAGEMENT LIMITED Portfolio Manager>32700
ICPP FUNDS LTD. Investment Fund Manager>54810
ICPP FUNDS LTD. Portfolio Manager>54810
ICPP FUNDS LTD. Exempt Market Dealer>54810
IEPP INVESTMENT MANAGEMENT INC. Portfolio Manager>55090
IFM INVESTORS (US) ADVISOR, LLC Investment Fund Manager>40850
IFM INVESTORS (US) ADVISOR, LLC Exempt Market Dealer>40850
IGAN PARTNERS INC. Exempt Market Dealer>42150
IMAGINE WEALTH MANAGEMENT INC. Investment Fund Manager>53700
IMAGINE WEALTH MANAGEMENT INC. Portfolio Manager>53700
IMAGINE WEALTH MANAGEMENT INC. Exempt Market Dealer>53700
IMC LIMITED PARTNERSHIP Investment Fund Manager>29920
IMC LIMITED PARTNERSHIP Portfolio Manager>29920
IMC LIMITED PARTNERSHIP Exempt Market Dealer>29920
INDEPENDENT ACCOUNTANTS' INVESTMENT COUNSEL INC. Portfolio Manager>9420
INDEPENDENT TRADING GROUP (ITG) INC. Investment Dealer>29140
INDUSTRIELLE ALLIANCE GESTION DE PLACEMENTS INC. / INDUSTRIAL ALLIANCE, INVESTMENT MANAGEMENT INC.
Commodity Trading Manager>18340
INDUSTRIELLE ALLIANCE GESTION DE PLACEMENTS INC. / INDUSTRIAL ALLIANCE, INVESTMENT MANAGEMENT INC.
Commodity Trading Counsel>18340
INDUSTRIELLE ALLIANCE GESTION DE PLACEMENTS INC. / INDUSTRIAL ALLIANCE, INVESTMENT MANAGEMENT INC.
Portfolio Manager>18340
INDUSTRIELLE ALLIANCE VALEURS MOBILIERES INC. / INDUSTRIAL ALLIANCE SECURITIES INC.
Investment Dealer>15400
INFLECTION MANAGEMENT INC. Investment Fund Manager>33590
39
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
INFLECTION MANAGEMENT INC. Exempt Market Dealer>33590
INFOR FINANCIAL INC. Investment Fund Manager>36970
INFOR FINANCIAL INC. Investment Dealer>36970
INNERKIP CAPITAL MANAGEMENT INC. Investment Fund Manager>18990
INNERKIP CAPITAL MANAGEMENT INC. Portfolio Manager>18990
INNERKIP CAPITAL MANAGEMENT INC. Exempt Market Dealer>18990
INNOCAP INVESTMENT MANAGEMENT INC./GESTION DE PLACEMENTS INNOCAP INC.
Investment Fund Manager>19040
INNOCAP INVESTMENT MANAGEMENT INC./GESTION DE PLACEMENTS INNOCAP INC.
Commodity Trading Manager>19040
INNOCAP INVESTMENT MANAGEMENT INC./GESTION DE PLACEMENTS INNOCAP INC.
Portfolio Manager>19040
INNOCAP INVESTMENT MANAGEMENT INC./GESTION DE PLACEMENTS INNOCAP INC.
Exempt Market Dealer>19040
INSIGHT INVESTMENT MANAGEMENT (GLOBAL) LIMITED Commodity Trading Manager>3140
INSTINET CANADA CROSS LIMITED Investment Dealer>34060
INSTINET CANADA LIMITED Investment Dealer>4020
INTACT INVESTMENT MANAGEMENT INC./INTACT GESTION DE PLACEMENTS INC.
Commodity Trading Counsel>7600
INTACT INVESTMENT MANAGEMENT INC./INTACT GESTION DE PLACEMENTS INC.
Portfolio Manager>7600
INTACT INVESTMENT MANAGEMENT INC./INTACT GESTION DE PLACEMENTS INC.
Commodity Trading Manager>7600
INTEGRA CAPITAL LIMITED Investment Fund Manager>12240
INTEGRA CAPITAL LIMITED Commodity Trading Manager>12240
INTEGRA CAPITAL LIMITED Portfolio Manager>12240
INTEGRA CAPITAL LIMITED Exempt Market Dealer>12240
INTEGRAL WEALTH SECURITIES LIMITED Investment Dealer>310
INTEGRATED MANAGED FUTURES CORP. Commodity Trading Manager>15860
INTEGRATED MANAGED FUTURES CORP. Exempt Market Dealer>15860
INTEGRATED-EQUITIES INC. Exempt Market Dealer>35680
INTERACTIVE COURTAGE CANADA INC. / INTERACTIVE BROKERS CANADA INC.
Futures Commission Merchant>11890
INTERACTIVE COURTAGE CANADA INC. / INTERACTIVE BROKERS CANADA INC.
Investment Dealer>11890
INTERNATIONAL CAPITAL MANAGEMENT INC. Exempt Market Dealer>5480
INTERNATIONAL CAPITAL MANAGEMENT INC. Mutual Fund Dealer>5480
INTERWARD ASSET MANAGEMENT LTD. Investment Fund Manager>21590
INTERWARD ASSET MANAGEMENT LTD. Exempt Market Dealer>21590
INTERWARD ASSET MANAGEMENT LTD. Portfolio Manager>21590
40
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
INTRODUCTION CAPITAL INC. Exempt Market Dealer>20380
INTRYNSYC CAPITAL CORPORATION Exempt Market Dealer>30080
INUKSHUK CAPITAL MANAGEMENT INC. Investment Fund Manager>38760
INUKSHUK CAPITAL MANAGEMENT INC. Portfolio Manager>38760
INUKSHUK CAPITAL MANAGEMENT INC. Exempt Market Dealer>38760
INVERLOCHY CAPITAL LTD. Portfolio Manager>22800
INVESCO CANADA LTD./INVESCO CANADA LTEE Portfolio Manager>4850
INVESCO CANADA LTD./INVESCO CANADA LTEE Mutual Fund Dealer>4850
INVESCO CANADA LTD./INVESCO CANADA LTEE Investment Fund Manager>4850
INVESCO CANADA LTD./INVESCO CANADA LTEE Commodity Trading Manager>4850
INVESCO CANADA LTD./INVESCO CANADA LTEE Exempt Market Dealer>4850
INVESTIA FINANCIAL SERVICES INC. / INVESTIA SERVICES FINANCIERS INC.
Exempt Market Dealer>8490
INVESTIA FINANCIAL SERVICES INC. / INVESTIA SERVICES FINANCIERS INC.
Mutual Fund Dealer>8490
INVESTMENT PARTNERS FUND INC. Commodity Trading Manager>29440
INVESTMENT PARTNERS FUND INC. Investment Fund Manager>29440
INVESTMENT PARTNERS FUND INC. Exempt Market Dealer>29440
INVESTMENT PARTNERS FUND INC. Portfolio Manager>29440
INVESTMENT STRATEGIES INC. Exempt Market Dealer>23560
INVESTMENT STRATEGIES INC. Portfolio Manager>23560
INVESTORS GROUP FINANCIAL SERVICES INC./ SERVICES FINANCIERS GROUPE INVESTORS INC.
Mutual Fund Dealer>22380
INVESTORS GROUP SECURITIES INC./VALEURS MOBILIERES GROUPE INVESTORS INC.
Investment Dealer>5760
INVESTX FINANCIAL (CANADA) LTD. Exempt Market Dealer>51580
INVICO CAPITAL CORPORATION Investment Fund Manager>22310
INVICO CAPITAL CORPORATION Portfolio Manager>22310
INVISOR INVESTMENT MANAGEMENT INC. Portfolio Manager>48610
IPC INVESTMENT CORPORATION Exempt Market Dealer>5650
IPC INVESTMENT CORPORATION Mutual Fund Dealer>5650
IPC SECURITIES CORPORATION / IPC VALEURS MOBILIERES Investment Dealer>8780
IPSOL CAPITAL INC. Commodity Trading Manager>45430
IPSOL CAPITAL INC. Investment Fund Manager>45430
IPSOL CAPITAL INC. Portfolio Manager>45430
IRIS ASSET MANAGEMENT LTD. Portfolio Manager>43290
ITG CANADA CORP. Futures Commission Merchant>9780
ITG CANADA CORP. Investment Dealer>9780
41
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
J. PRIEST INVESTMENT MANAGEMENT INC. Investment Fund Manager>30790
J. PRIEST INVESTMENT MANAGEMENT INC. Exempt Market Dealer>30790
J. PRIEST INVESTMENT MANAGEMENT INC. Portfolio Manager>30790
J. ZECHNER ASSOCIATES INC. Investment Fund Manager>4160
J. ZECHNER ASSOCIATES INC. Portfolio Manager>4160
J. ZECHNER ASSOCIATES INC. Exempt Market Dealer>4160
J.C. HOOD INVESTMENT COUNSEL INC. Portfolio Manager>10230
J.P. MORGAN SECURITIES CANADA INC. / J.P. MORGAN VALEURS MOBILIERES CANADA INC.
Futures Commission Merchant>2510
J.P. MORGAN SECURITIES CANADA INC. / J.P. MORGAN VALEURS MOBILIERES CANADA INC.
Investment Dealer>2510
J2 CAPITAL MANAGEMENT INC. Investment Fund Manager>56940
J2 CAPITAL MANAGEMENT INC. Portfolio Manager>56940
J2 CAPITAL MANAGEMENT INC. Exempt Market Dealer>56940
JANUS CAPITAL MANAGEMENT LLC Exempt Market Dealer>5790
JANUS CAPITAL MANAGEMENT LLC Portfolio Manager>5790
JAPA INTERNATIONAL LIMITED Portfolio Manager>6970
JARISLOWSKY, FRASER LIMITEE / JARISLOWSKY, FRASER LIMITED
Investment Fund Manager>5570
JARISLOWSKY, FRASER LIMITEE / JARISLOWSKY, FRASER LIMITED
Portfolio Manager>5570
JC CLARK INC. Portfolio Manager>12060
JC CLARK LTD. / JC CLARK LTEE Investment Fund Manager>10690
JC CLARK LTD. / JC CLARK LTEE Investment Dealer>10690
JCM VENTURE CAPITAL LTD. Exempt Market Dealer>44410
JEFFERIES SECURITIES, INC. Investment Dealer>49620
JESSELTON CAPITAL MANAGEMENT INC. Investment Fund Manager>54240
JESSELTON CAPITAL MANAGEMENT INC. Exempt Market Dealer>54240
JITNEYTRADE INC. Futures Commission Merchant>11470
JITNEYTRADE INC. Investment Dealer>11470
JM FUND MANAGEMENT INC. Portfolio Manager>40600
JM FUND MANAGEMENT INC. Investment Fund Manager>40600
JM FUND MANAGEMENT INC. Exempt Market Dealer>40600
JOG CAPITAL CORP. Exempt Market Dealer>40840
JOG CAPITAL CORP. Investment Fund Manager>40840
JONES COLLOMBIN INVESTMENT COUNSEL INC. / CONSEILLERS EN PLACEMENTS JONES COLLOMBIN INC.
Portfolio Manager>1840
JONES COLLOMBIN INVESTMENT COUNSEL INC. / CONSEILLERS EN PLACEMENTS JONES COLLOMBIN INC.
Investment Fund Manager>1840
42
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
JONESTRADING CANADA INC./COURTAGE JONES CANADA INC. Investment Dealer>28380
JPMORGAN ASSET MANAGEMENT (CANADA) INC./GESTION D'ACTIF JPMORGAN (CANADA) INC.
Investment Fund Manager>1270
JPMORGAN ASSET MANAGEMENT (CANADA) INC./GESTION D'ACTIF JPMORGAN (CANADA) INC.
Portfolio Manager>1270
JPMORGAN ASSET MANAGEMENT (CANADA) INC./GESTION D'ACTIF JPMORGAN (CANADA) INC.
Exempt Market Dealer>1270
JUSTWEALTH FINANCIAL INC. Portfolio Manager>52700
JVAR CAPITAL LIMITED Portfolio Manager>18510
JVAR CAPITAL LIMITED Exempt Market Dealer>18510
JVK LIFE & WEALTH ADVISORY GROUP INC./JVK LIFE & WEALTH ADVISORY GROUP
Exempt Market Dealer>10160
JVK LIFE & WEALTH ADVISORY GROUP INC./JVK LIFE & WEALTH ADVISORY GROUP
Mutual Fund Dealer>10160
43
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
K.J. HARRISON & PARTNERS INC Investment Fund Manager>11790
K.J. HARRISON & PARTNERS INC Investment Dealer>11790
K2 & ASSOCIATES INVESTMENT MANAGEMENT INC. Investment Fund Manager>9230
K2 & ASSOCIATES INVESTMENT MANAGEMENT INC. Portfolio Manager>9230
K2 & ASSOCIATES INVESTMENT MANAGEMENT INC. Exempt Market Dealer>9230
KAI ASSET MANAGEMENT INC. Investment Fund Manager>51940
KAI ASSET MANAGEMENT INC. Portfolio Manager>51940
KAI ASSET MANAGEMENT INC. Exempt Market Dealer>51940
KAIOG CAPITAL PARTNERS INC. Investment Fund Manager>29930
KAIOG CAPITAL PARTNERS INC. Exempt Market Dealer>29930
KAIOG CAPITAL PARTNERS INC. Portfolio Manager>29930
KASSIRER ASSET MANAGEMENT CORPORATION Portfolio Manager>10080
KASSIRER ASSET MANAGEMENT CORPORATION Exempt Market Dealer>10080
KASSIRER ASSET MANAGEMENT CORPORATION Investment Fund Manager>10080
KEATSCONNELLY ULC Portfolio Manager>40980
KEIRA CAPITAL PARTNERS INC. Exempt Market Dealer>38970
KENSINGTON CAPITAL ADVISORS INC. Investment Fund Manager>7330
KENSINGTON CAPITAL ADVISORS INC. Exempt Market Dealer>7330
KENSINGTON CAPITAL ADVISORS INC. Portfolio Manager>7330
KERNAGHAN & PARTNERS LTD. Futures Commission Merchant>50390
KERNAGHAN & PARTNERS LTD. Investment Dealer>50390
KES 7 CAPITAL INC. Exempt Market Dealer>46420
KEYBASE FINANCIAL GROUP INC. Exempt Market Dealer>4710
KEYBASE FINANCIAL GROUP INC. Mutual Fund Dealer>4710
KILBURN OGILVIE WAYMANN INVESTMENT MANAGEMENT LTD. Portfolio Manager>17060
KILGHARRAH ASSET MANAGEMENT INC. Portfolio Manager>51110
KILGOUR WILLIAMS CAPITAL INCORPORATED Exempt Market Dealer>45930
KILGOUR WILLIAMS CAPITAL INCORPORATED Restricted Portfolio Manager>45930
KILGOUR WILLIAMS CAPITAL INCORPORATED Investment Fund Manager>45930
KIMELMAN & BAIRD, LLC Portfolio Manager>23450
KINDIGO CAPITAL LTD. Exempt Market Dealer>51630
KINDLE CAPITAL MANAGEMENT INC. Exempt Market Dealer>44690
KINGSDALE CAPITAL MARKETS INC. / MARCHES KINGSDALE CAPITAL INC.
Investment Dealer>6830
KINGWEST & COMPANY / LA SOCIETE KINGWEST ET COMPAGNIE Investment Fund Manager>1930
KINGWEST & COMPANY / LA SOCIETE KINGWEST ET COMPAGNIE Investment Dealer>1930
KNOWLEDGE FIRST FINANCIAL INC./LA PREMIERE FINANCIERE DU SAVOIR INC.
Investment Fund Manager>3230
44
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
KNOWLEDGE FIRST FINANCIAL INC./LA PREMIERE FINANCIERE DU SAVOIR INC.
Scholarship Plan Dealer>3230
KPMG CORPORATE FINANCE INC./FINANCEMENT CORPORATIF KPMG INC.
Exempt Market Dealer>6410
KV CAPITAL INC. Investment Fund Manager>34440
KV CAPITAL INC. Exempt Market Dealer>34440
KYKLOPES CAPITAL MANAGEMENT LTD. Exempt Market Dealer>37650
KYKLOPES CAPITAL MANAGEMENT LTD. Investment Fund Manager>37650
45
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
LAKESHORE SECURITIES INC. Investment Dealer>10580
LANGMAIDS ASSET MANAGEMENT INC. Portfolio Manager>9980
LANGMAIDS ASSET MANAGEMENT INC. Exempt Market Dealer>9980
LAURIER CAPITAL FUNDING INC. Exempt Market Dealer>43460
LAURUS INVESTMENT COUNSEL INC. Investment Fund Manager>48260
LAURUS INVESTMENT COUNSEL INC. Portfolio Manager>48260
LAURUS INVESTMENT COUNSEL INC. Exempt Market Dealer>48260
LAVBAY CAPITAL MANAGEMENT INC. Investment Fund Manager>53580
LAVBAY CAPITAL MANAGEMENT INC. Portfolio Manager>53580
LAVBAY CAPITAL MANAGEMENT INC. Exempt Market Dealer>53580
LAWRENCE PARK ASSET MANAGEMENT LTD. Investment Fund Manager>37930
LAWRENCE PARK ASSET MANAGEMENT LTD. Portfolio Manager>37930
LAWRENCE PARK ASSET MANAGEMENT LTD. Exempt Market Dealer>37930
LAWTON PARTNERS FINANCIAL PLANNING SERVICES LIMITED Mutual Fund Dealer>14020
LAZARD ASSET MANAGEMENT (CANADA), INC. / GESTION D'ACTIFS LAZARD (CANADA)
Portfolio Manager>5740
LAZARD ASSET MANAGEMENT (CANADA), INC. / GESTION D'ACTIFS LAZARD (CANADA)
Exempt Market Dealer>5740
LAZARD ASSET MANAGEMENT (CANADA), INC. / GESTION D'ACTIFS LAZARD (CANADA)
Investment Fund Manager>5740
LBC FINANCIAL SERVICES INC./BLC SERVICES FINANCIERS INC. Mutual Fund Dealer>5100
LDIC INC. Investment Fund Manager>8550
LDIC INC. Portfolio Manager>8550
LEEDE JONES GABLE INC. Investment Dealer>5770
LEGACY PARTNERS WEALTH STRATEGIES INC. Exempt Market Dealer>38030
LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA, INC. Portfolio Manager>37980
LEITH WHEELER INVESTMENT COUNSEL LTD. Investment Fund Manager>45130
LEITH WHEELER INVESTMENT COUNSEL LTD. Portfolio Manager>45130
LEITH WHEELER INVESTMENT COUNSEL LTD. Exempt Market Dealer>45130
LEITH WHEELER INVESTMENT FUNDS LTD. Mutual Fund Dealer>20750
LES CONSEILLERS EN PLACEMENTS KERR INC. / KERR FINANCIAL ADVISORS INC.
Investment Fund Manager>10440
LES CONSEILLERS EN PLACEMENTS KERR INC. / KERR FINANCIAL ADVISORS INC.
Portfolio Manager>10440
LES CONSEILLERS EN VALEURS RAZORBILL INC./ RAZORBILL ADVISORS INC.
Commodity Trading Manager>43500
LES CONSEILLERS EN VALEURS RAZORBILL INC./ RAZORBILL ADVISORS INC.
Portfolio Manager>43500
LES CONSEILLERS EN VALEURS RAZORBILL INC./ RAZORBILL ADVISORS INC.
Investment Fund Manager>43500
46
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
LES CONSEILLERS EN VALEURS RAZORBILL INC./ RAZORBILL ADVISORS INC.
Exempt Market Dealer>43500
LES INVESTISSEMENTS RIVEMONT INC. / RIVEMONT INVESTMENTS INC.
Portfolio Manager>31760
LETKO, BROSSEAU & ASSOCIES INC. / LETKO, BROSSEAU & ASSOCIATES INC.
Exempt Market Dealer>4440
LETKO, BROSSEAU & ASSOCIES INC. / LETKO, BROSSEAU & ASSOCIATES INC.
Investment Fund Manager>4440
LETKO, BROSSEAU & ASSOCIES INC. / LETKO, BROSSEAU & ASSOCIATES INC.
Portfolio Manager>4440
LEWIN CAPITAL MANAGEMENT LTD. Portfolio Manager>28020
LEX CAPITAL MANAGEMENT INC. Investment Fund Manager>30380
LEX CAPITAL MANAGEMENT INC. Exempt Market Dealer>30380
LIAHONA CAPITAL INC. Exempt Market Dealer>47620
LIBERTY HOUSE ASSET MANAGEMENT INC. Exempt Market Dealer>17080
LIBERTY HOUSE ASSET MANAGEMENT INC. Investment Fund Manager>17080
LIBERTY HOUSE ASSET MANAGEMENT INC. Portfolio Manager>17080
LIBERTY INTERNATIONAL INVESTMENT MANAGEMENT INC. Portfolio Manager>50470
LIBERTY NORTH CAPITAL CORP. Exempt Market Dealer>46570
LIGHTWATER PARTNERS LTD. Portfolio Manager>27510
LIGHTWATER PARTNERS LTD. Exempt Market Dealer>27510
LIGHTWATER PARTNERS LTD. Investment Fund Manager>27510
LIGHTYEAR CAPITAL INC. Investment Dealer>10570
LINCLUDEN INVESTMENT MANAGEMENT LIMITED Investment Fund Manager>38690
LINCLUDEN INVESTMENT MANAGEMENT LIMITED Portfolio Manager>38690
LINCLUDEN INVESTMENT MANAGEMENT LIMITED Exempt Market Dealer>38690
LINCLUDEN MUTUAL FUND DEALER INC. Mutual Fund Dealer>12740
LINDE EQUITY INC. Investment Fund Manager>14720
LINDE EQUITY INC. Exempt Market Dealer>14720
LINDE EQUITY INC. Portfolio Manager>14720
LINDEN MILLS INVESTMENTS INC. Exempt Market Dealer>20950
LIONGUARD CAPITAL MANAGEMENT INC. Investment Fund Manager>48220
LIONGUARD CAPITAL MANAGEMENT INC. Portfolio Manager>48220
LIONGUARD CAPITAL MANAGEMENT INC. Exempt Market Dealer>48220
LIONRIDGE CAPITAL MANAGEMENT INC. Portfolio Manager>15790
LIQUIDNET CANADA INC. / LIQUIDENET CANADA INC. Investment Dealer>16680
LISSOM INVESTMENT MANAGEMENT INC. Portfolio Manager>18770
LISSOM INVESTMENT MANAGEMENT INC. Exempt Market Dealer>18770
LISSOM INVESTMENT MANAGEMENT INC. Investment Fund Manager>18770
47
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
LOEWEN, ONDAATJE, MCCUTCHEON LIMITED / LOEWEN, ONDAATJE, MCCUTCHEON LIMITEE
Exempt Market Dealer>2040
LOGAN CIRCLE PARTNERS I LLC Exempt Market Dealer>38840
LOGAN CIRCLE PARTNERS I LLC Portfolio Manager>38840
LOGAN WEALTH MANAGEMENT INC. Portfolio Manager>40200
LOGIQ ASSET MANAGEMENT LTD. Investment Fund Manager>12690
LOGIQ ASSET MANAGEMENT LTD. Portfolio Manager>12690
LOGIQ ASSET MANAGEMENT LTD. Exempt Market Dealer>12690
LOGIQ CAPITAL PARTNERS INC. Investment Fund Manager>42210
LOGIQ CAPITAL PARTNERS INC. Portfolio Manager>42210
LOGIQ CAPITAL PARTNERS INC. Exempt Market Dealer>42210
LOMBARD ODIER SECURITIES (CANADA) INC. Investment Dealer>23230
LONGBOW CAPITAL INC Investment Fund Manager>29040
LONGBOW CAPITAL INC Exempt Market Dealer>29040
LONGVIEW ASSET MANAGEMENT LTD. Portfolio Manager>37480
LONGVIEW ASSET MANAGEMENT LTD. Investment Fund Manager>37480
LOOMIS, SAYLES & COMPANY, L.P. Portfolio Manager>17600
LOOP SECURITIES INC. Exempt Market Dealer>56230
LORICA INVESTMENT COUNSEL INC. Investment Fund Manager>33890
LORICA INVESTMENT COUNSEL INC. Portfolio Manager>33890
LORICA INVESTMENT COUNSEL INC. Exempt Market Dealer>33890
LORNE STEINBERG WEALTH MANAGEMENT INC. / GESTION DE PATRIMOINE LORNE STEINBERG
Investment Fund Manager>30200
LORNE STEINBERG WEALTH MANAGEMENT INC. / GESTION DE PATRIMOINE LORNE STEINBERG
Exempt Market Dealer>30200
LORNE STEINBERG WEALTH MANAGEMENT INC. / GESTION DE PATRIMOINE LORNE STEINBERG
Portfolio Manager>30200
LOUBANI CAPITAL MANAGEMENT (CANADA) INC. Investment Fund Manager>46340
LOUBANI CAPITAL MANAGEMENT (CANADA) INC. Portfolio Manager>46340
LOUBANI CAPITAL MANAGEMENT (CANADA) INC. Exempt Market Dealer>46340
LOUISBOURG INVESTMENTS INC./LES PLACEMENTS LOUISBOURG INC.
Investment Fund Manager>15320
LOUISBOURG INVESTMENTS INC./LES PLACEMENTS LOUISBOURG INC.
Portfolio Manager>15320
LOUISBOURG INVESTMENTS INC./LES PLACEMENTS LOUISBOURG INC.
Exempt Market Dealer>15320
LOWENBERG INVESTMENT COUNSEL, INC. Portfolio Manager>38460
LSV ASSET MANAGEMENT Exempt Market Dealer>8920
LSV ASSET MANAGEMENT Portfolio Manager>8920
LUMEN ASSET MANAGEMENT INC. Investment Fund Manager>52480
48
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
LUMEN ASSET MANAGEMENT INC. Portfolio Manager>52480
LUMEN ASSET MANAGEMENT INC. Exempt Market Dealer>52480
LYCOS ASSET MANAGEMENT INC. Portfolio Manager>28580
LYONS ASSET MANAGEMENT INC. Portfolio Manager>20230
LYSANDER FUNDS LIMITED Investment Fund Manager>34560
LYSANDER FUNDS LIMITED Exempt Market Dealer>34560
LYTTON FINANCIAL INC. Exempt Market Dealer>18500
49
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
M PARTNERS INC. Investment Dealer>20360
M.S. LAMONT AND ASSOCIATES LIMITED Portfolio Manager>1990
M.Y. CAPITAL MANAGEMENT CORP. Investment Fund Manager>41150
M.Y. CAPITAL MANAGEMENT CORP. Portfolio Manager>41150
M.Y. CAPITAL MANAGEMENT CORP. Exempt Market Dealer>41150
MACDONALD, SHYMKO & COMPANY LTD. Portfolio Manager>14890
MACKENZIE FINANCIAL CORPORATION Commodity Trading Manager>2130
MACKENZIE FINANCIAL CORPORATION Portfolio Manager>2130
MACKENZIE FINANCIAL CORPORATION Exempt Market Dealer>2130
MACKENZIE FINANCIAL CORPORATION Investment Fund Manager>2130
MACKIE RESEARCH CAPITAL CORPORATION / CORPORATION MACKIE RECHERCHE CAPITAL
Investment Fund Manager>3070
MACKIE RESEARCH CAPITAL CORPORATION / CORPORATION MACKIE RECHERCHE CAPITAL
Investment Dealer>3070
MACKINNON, BENNETT & COMPANY INC. / MACKINNON, BENNETT & COMPAGNIE INC.
Exempt Market Dealer>32490
MACNICOL & ASSOCIATES ASSET MANAGEMENT INC. Investment Fund Manager>12500
MACNICOL & ASSOCIATES ASSET MANAGEMENT INC. Portfolio Manager>12500
MACNICOL & ASSOCIATES ASSET MANAGEMENT INC. Exempt Market Dealer>12500
MACQUARIE CAPITAL MARKETS CANADA LTD./MARCHES FINANCIERS MACQUARIE CANADA LTEE.
Futures Commission Merchant>3950
MACQUARIE CAPITAL MARKETS CANADA LTD./MARCHES FINANCIERS MACQUARIE CANADA LTEE.
Investment Dealer>3950
MACQUARIE INFRASTRUCTURE AND REAL ASSETS (SALES) CANADA LTD.
Exempt Market Dealer>37360
MAGENTA CAPITAL CORPORATION Exempt Market Dealer>33730
MAHOGANY ASSET MANAGEMENT INC. Portfolio Manager>47720
MAHOGANY ASSET MANAGEMENT INC. Investment Fund Manager>47720
MAHOGANY ASSET MANAGEMENT INC. Exempt Market Dealer>47720
MAISON PLACEMENTS CANADA INC. Investment Dealer>2140
MAJESTIC ASSET MANAGEMENT LLC Portfolio Manager>29010
MAJESTIC ASSET MANAGEMENT LLC Investment Fund Manager>29010
MAJESTIC ASSET MANAGEMENT LLC Exempt Market Dealer>29010
MAJESTIC ASSET MANAGEMENT LLC Commodity Trading Manager>29010
MANDEVILLE PRIVATE CLIENT INC./GESTION PRIVEE MANDEVILLE INC.
Investment Dealer>34220
MANITOU INVESTMENT MANAGEMENT LTD. Investment Fund Manager>8430
MANITOU INVESTMENT MANAGEMENT LTD. Portfolio Manager>8430
MANITOU INVESTMENT MANAGEMENT LTD. Exempt Market Dealer>8430
MANNING & NAPIER ADVISORS, LLC Portfolio Manager>38630
50
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
MANNING & NAPIER ADVISORS, LLC Exempt Market Dealer>38630
MANULIFE ASSET MANAGEMENT INVESTMENTS INC./INVESTISSEMENTS GESTION D'ACTIFS MANUVIE INC.
Exempt Market Dealer>48020
MANULIFE ASSET MANAGEMENT LIMITED/GESTION D'ACTIFS MANUVIE LIMITEE
Investment Fund Manager>1150
MANULIFE ASSET MANAGEMENT LIMITED/GESTION D'ACTIFS MANUVIE LIMITEE
Commodity Trading Manager>1150
MANULIFE ASSET MANAGEMENT LIMITED/GESTION D'ACTIFS MANUVIE LIMITEE
Portfolio Manager>1150
MANULIFE SECURITIES INCORPORATED/PLACEMENTS MANUVIE INCORPOREE
Investment Dealer>17820
MANULIFE SECURITIES INVESTMENT SERVICES INC. Exempt Market Dealer>28150
MANULIFE SECURITIES INVESTMENT SERVICES INC. Mutual Fund Dealer>28150
MAPLE LEAF ANGELS CORPORATION Exempt Market Dealer>29700
MAPLE ROCK CAPITAL PARTNERS INC. Investment Fund Manager>48840
MAPLE ROCK CAPITAL PARTNERS INC. Portfolio Manager>48840
MAPLE ROCK CAPITAL PARTNERS INC. Exempt Market Dealer>48840
MAPLEHILL CAPITAL MANAGEMENT CORPORATION Portfolio Manager>28640
MAPLEHILL CAPITAL MANAGEMENT CORPORATION Exempt Market Dealer>28640
MAPLEWEST CAPITAL CORPORATION Portfolio Manager>50500
MAPLEWEST CAPITAL CORPORATION Exempt Market Dealer>50500
MAPLEWEST CAPITAL CORPORATION Investment Fund Manager>50500
MARATHON CAPITAL MARKETS, LLC Exempt Market Dealer>34150
MARKETAXESS CANADA COMPANY/SOCIETE MARKETAXESS CANADA
Investment Dealer>22630
MARQUEST ASSET MANAGEMENT INC. / INVESTISSEMENT CONSEIL MARQUEST
Investment Fund Manager>2310
MARQUEST ASSET MANAGEMENT INC. / INVESTISSEMENT CONSEIL MARQUEST
Portfolio Manager>2310
MARQUEST ASSET MANAGEMENT INC. / INVESTISSEMENT CONSEIL MARQUEST
Exempt Market Dealer>2310
MARRET ASSET MANAGEMENT INC. Commodity Trading Manager>10780
MARRET ASSET MANAGEMENT INC. Portfolio Manager>10780
MARRET ASSET MANAGEMENT INC. Exempt Market Dealer>10780
MARRET ASSET MANAGEMENT INC. Investment Fund Manager>10780
MARS VX Exempt Market Dealer>45060
MARTIN, LUCAS & SEAGRAM LTD. Portfolio Manager>2160
MATCO FINANCIAL INC. Investment Fund Manager>24290
MATCO FINANCIAL INC. Portfolio Manager>24290
MATCO FINANCIAL INC. Mutual Fund Dealer>24290
51
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
MATNOR HOLDINGS INC. Exempt Market Dealer>3810
MAWER DIRECT INVESTING LTD. Investment Dealer>52220
MAWER INVESTMENT MANAGEMENT LTD. Portfolio Manager>16280
MAWER INVESTMENT MANAGEMENT LTD. Mutual Fund Dealer>16280
MAWER INVESTMENT MANAGEMENT LTD. Investment Fund Manager>16280
MAXAM CAPITAL MANAGEMENT LTD. Exempt Market Dealer>28060
MAXAM CAPITAL MANAGEMENT LTD. Investment Fund Manager>28060
MAXAM CAPITAL MANAGEMENT LTD. Portfolio Manager>28060
MAXIT CAPITAL LP Exempt Market Dealer>47150
MCELVAINE INVESTMENT MANAGEMENT LTD. Investment Fund Manager>8310
MCELVAINE INVESTMENT MANAGEMENT LTD. Portfolio Manager>8310
MCELVAINE INVESTMENT MANAGEMENT LTD. Exempt Market Dealer>8310
MCF SECURITIES INC. Exempt Market Dealer>39890
MCKINLEY CAPITAL MANAGEMENT, LLC Portfolio Manager>7160
MCLEAN & PARTNERS WEALTH MANAGEMENT LTD. Investment Fund Manager>8680
MCLEAN & PARTNERS WEALTH MANAGEMENT LTD. Investment Dealer>8680
MCLEAN ASSET MANAGEMENT LTD. Exempt Market Dealer>8540
MCLEAN ASSET MANAGEMENT LTD. Investment Fund Manager>8540
MCLEAN ASSET MANAGEMENT LTD. Portfolio Manager>8540
MD FINANCIAL MANAGEMENT INC./GESTION FINANCIERE MD INC. Commodity Trading Manager>29830
MD FINANCIAL MANAGEMENT INC./GESTION FINANCIERE MD INC. Investment Fund Manager>29830
MD FINANCIAL MANAGEMENT INC./GESTION FINANCIERE MD INC. Portfolio Manager>29830
MD FINANCIAL MANAGEMENT INC./GESTION FINANCIERE MD INC. Exempt Market Dealer>29830
MD MANAGEMENT LIMITED/GESTION MD LIMITEE Investment Dealer>2200
MEADOWBANK ASSET MANAGEMENT INC. Portfolio Manager>24010
MEADOWBANK ASSET MANAGEMENT INC. Exempt Market Dealer>24010
MECKELBORG FINANCIAL GROUP LTD. Portfolio Manager>34410
MEDALIST CAPITAL LTD. Exempt Market Dealer>45330
MELLON CAPITAL MANAGEMENT CORPORATION Commodity Trading Manager>4830
MELLON CAPITAL MANAGEMENT CORPORATION Portfolio Manager>4830
MERCER GLOBAL INVESTMENTS CANADA LIMITED Investment Fund Manager>18020
MERCER GLOBAL INVESTMENTS CANADA LIMITED Portfolio Manager>18020
MERCER GLOBAL INVESTMENTS CANADA LIMITED Exempt Market Dealer>18020
MERIT VALOR CAPITAL ASSET MANAGEMENT CORPORATION Exempt Market Dealer>49400
MERRILL LYNCH CANADA INC. Futures Commission Merchant>2210
MERRILL LYNCH CANADA INC. Investment Dealer>2210
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Portfolio Manager>2500
52
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
METAFORM INVESTMENTS INC. Portfolio Manager>51490
METAFORM INVESTMENTS INC. Exempt Market Dealer>51490
METRIC ASSET MANAGEMENT LIMITED PARTNERSHIP / SOCIETE EN COMMANDITE GESTION D'ACTIFS METRIQUES
Commodity Trading Manager>43210
METRIC ASSET MANAGEMENT LIMITED PARTNERSHIP / SOCIETE EN COMMANDITE GESTION D'ACTIFS METRIQUES
Investment Fund Manager>43210
METRIC ASSET MANAGEMENT LIMITED PARTNERSHIP / SOCIETE EN COMMANDITE GESTION D'ACTIFS METRIQUES
Portfolio Manager>43210
METRIC ASSET MANAGEMENT LIMITED PARTNERSHIP / SOCIETE EN COMMANDITE GESTION D'ACTIFS METRIQUES
Exempt Market Dealer>43210
MFS INVESTMENT MANAGEMENT CANADA LIMITED/MFS GESTION DE PLACEMENTS CANADA LIMITEE
Exempt Market Dealer>2190
MFS INVESTMENT MANAGEMENT CANADA LIMITED/MFS GESTION DE PLACEMENTS CANADA LIMITEE
Investment Fund Manager>2190
MFS INVESTMENT MANAGEMENT CANADA LIMITED/MFS GESTION DE PLACEMENTS CANADA LIMITEE
Portfolio Manager>2190
MICHAEL GRAHAM INVESTMENT SERVICES INC. Portfolio Manager>26440
MIDDLEFIELD CAPITAL CORPORATION Investment Dealer>2300
MIDDLEFIELD LIMITED Investment Fund Manager>34870
MIDSTAR MANAGEMENT CORP. Exempt Market Dealer>53520
MIDSTAR MANAGEMENT CORP. Restricted Portfolio Manager>53520
MIKALACHKI INVESTMENT MANAGEMENT LTD. Portfolio Manager>7610
MILES SANTO AND ASSOCIATES INC. Mutual Fund Dealer>5060
MILESTONE INVESTMENT COUNSEL INC. Portfolio Manager>5840
MILLAR PRIVATE WEALTH MANAGEMENT INC. Portfolio Manager>37320
MILLAR PRIVATE WEALTH MANAGEMENT INC. Exempt Market Dealer>37320
MINVESTEC CAPITAL CORP. Exempt Market Dealer>29570
MIRABAUD CANADA INC. Investment Dealer>6030
MM ASSET MANAGEMENT INC. Investment Fund Manager>21760
MM ASSET MANAGEMENT INC. Portfolio Manager>21760
MM ASSET MANAGEMENT INC. Exempt Market Dealer>21760
MMCAP MANAGEMENT INC. Investment Fund Manager>42950
MNP CORPORATE FINANCE INC. Exempt Market Dealer>29910
MODERN ADVISOR CANADA INC. Restricted Portfolio Manager>51160
MONARCH WEALTH CORPORATION Exempt Market Dealer>1400
MONARCH WEALTH CORPORATION Mutual Fund Dealer>1400
MONDIALE ASSET MANAGEMENT LTD. Commodity Trading Manager>10670
MONDIALE ASSET MANAGEMENT LTD. Commodity Trading Counsel>10670
MONDIALE ASSET MANAGEMENT LTD. Portfolio Manager>10670
MONEGY, INC. Portfolio Manager>16830
53
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
MONEGY, INC. Exempt Market Dealer>16830
MONEYSTRAT SECURITIES INC. Exempt Market Dealer>2220
MONEYSTRAT SECURITIES INC. Mutual Fund Dealer>2220
MONTAG PRIVATE WEALTH INC. / MONTAG GESTION PRIVEE INC. Portfolio Manager>42100
MONTRUSCO BOLTON INVESTMENTS INC./PLACEMENTS MONTRUSCO BOLTON INC.
Investment Fund Manager>290
MONTRUSCO BOLTON INVESTMENTS INC./PLACEMENTS MONTRUSCO BOLTON INC.
Commodity Trading Manager>290
MONTRUSCO BOLTON INVESTMENTS INC./PLACEMENTS MONTRUSCO BOLTON INC.
Portfolio Manager>290
MONTRUSCO BOLTON INVESTMENTS INC./PLACEMENTS MONTRUSCO BOLTON INC.
Exempt Market Dealer>290
MORBANK FUND MANAGEMENT INC. Exempt Market Dealer>39160
MORGAN MEIGHEN & ASSOCIATES LIMITED Investment Fund Manager>4150
MORGAN MEIGHEN & ASSOCIATES LIMITED Exempt Market Dealer>4150
MORGAN MEIGHEN & ASSOCIATES LIMITED Portfolio Manager>4150
MORGAN STANLEY CANADA LIMITED/MORGAN STANLEY CANADA LIMITEE
Investment Dealer>2480
MORNEAU SHEPELL ASSET & RISK MANAGEMENT LTD. Investment Fund Manager>40210
MORNEAU SHEPELL ASSET & RISK MANAGEMENT LTD. Portfolio Manager>40210
MORNEAU SHEPELL ASSET & RISK MANAGEMENT LTD. Exempt Market Dealer>40210
MORNINGSTAR ASSOCIATES INC. Portfolio Manager>35390
MOUNT LUCAS MANAGEMENT LP Commodity Trading Manager>40710
MOUNTAIN FOWLER ASSET MANAGEMENT INC. Exempt Market Dealer>26970
MOUNTAIN FOWLER ASSET MANAGEMENT INC. Investment Fund Manager>26970
MOUNTAIN FOWLER ASSET MANAGEMENT INC. Commodity Trading Manager>26970
MOUNTAIN FOWLER ASSET MANAGEMENT INC. Portfolio Manager>26970
MPA MORRISON PARK ADVISORS INC. Exempt Market Dealer>37260
MUFG SECURITIES (CANADA), LTD. Investment Dealer>54270
MURCHINSON LTD. Portfolio Manager>53110
54
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
NAPG EQUITIES INC. Exempt Market Dealer>2620
NASDAQ CXC LIMITED Investment Dealer>24400
NATIONAL BANK FINANCIAL INC./FINANCIERE BANQUE NATIONALE INC.
Futures Commission Merchant>1960
NATIONAL BANK FINANCIAL INC./FINANCIERE BANQUE NATIONALE INC.
Investment Dealer>1960
NATIONAL BANK FINANCIAL LTD./FINANCIERE BANQUE NATIONALE LTEE
Futures Commission Merchant>2020
NATIONAL BANK FINANCIAL LTD./FINANCIERE BANQUE NATIONALE LTEE
Investment Dealer>2020
NATIONAL BANK TRUST INC./TRUST BANQUE NATIONALE INC. Investment Fund Manager>8570
NATIONAL BANK TRUST INC./TRUST BANQUE NATIONALE INC. Exempt Market Dealer>8570
NATIONAL BANK TRUST INC./TRUST BANQUE NATIONALE INC. Portfolio Manager>8570
NAVROC INVESTMENT MANAGEMENT INC. Portfolio Manager>39570
NBCN INC. Investment Dealer>5730
NCP INVESTMENT MANAGEMENT INC. Portfolio Manager>38220
NCP INVESTMENT MANAGEMENT INC. Investment Fund Manager>38220
NCP INVESTMENT MANAGEMENT INC. Exempt Market Dealer>38220
NDB GROUP SYNDICATIONS INC. Exempt Market Dealer>9240
NELSON PORTFOLIO MANAGEMENT CORP. Investment Fund Manager>44440
NELSON PORTFOLIO MANAGEMENT CORP. Portfolio Manager>44440
NEST WEALTH ASSET MANAGEMENT INC. Investment Fund Manager>16210
NEST WEALTH ASSET MANAGEMENT INC. Portfolio Manager>16210
NEST WEALTH ASSET MANAGEMENT INC. Exempt Market Dealer>16210
NETWORTH FINANCIAL CORP Mutual Fund Dealer>14350
NEWGEN ASSET MANAGEMENT LIMITED Investment Fund Manager>31070
NEWGEN ASSET MANAGEMENT LIMITED Portfolio Manager>31070
NEWGEN ASSET MANAGEMENT LIMITED Exempt Market Dealer>31070
NEWHAVEN ASSET MANAGEMENT INC. Portfolio Manager>9010
NEWPOINT CAPITAL PARTNERS INC. Exempt Market Dealer>7590
NEWPORT PRIVATE WEALTH INC. Investment Fund Manager>10600
NEWPORT PRIVATE WEALTH INC. Portfolio Manager>10600
NEWPORT PRIVATE WEALTH INC. Exempt Market Dealer>10600
NEXT EDGE CAPITAL CORP. Investment Fund Manager>23200
NEXT EDGE CAPITAL CORP. Portfolio Manager>23200
NEXT EDGE CAPITAL CORP. Exempt Market Dealer>23200
NEXUS INVESTMENT MANAGEMENT INC./GESTION DE PORTEFEUILLE NEXUS INC.
Investment Fund Manager>350
55
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
NEXUS INVESTMENT MANAGEMENT INC./GESTION DE PORTEFEUILLE NEXUS INC.
Portfolio Manager>350
NEXUSCROWD INC. Exempt Market Dealer>49290
NGAM CANADA LP Exempt Market Dealer>21520
NGAM CANADA LP Investment Fund Manager>21520
NGAM CANADA LP Portfolio Manager>21520
NGAM CANADA LP Mutual Fund Dealer>21520
NIAGARA CAPITAL PARTNERS LTD. Exempt Market Dealer>34780
NIAGARA CAPITAL PARTNERS LTD. Investment Fund Manager>34780
NICOLA WEALTH MANAGEMENT LTD. Portfolio Manager>14790
NICOLA WEALTH MANAGEMENT LTD. Investment Fund Manager>14790
NICOLA WEALTH MANAGEMENT LTD. Exempt Market Dealer>14790
NISA INVESTMENT ADVISORS, LLC Commodity Trading Manager>25070
NISA INVESTMENT ADVISORS, LLC Portfolio Manager>25070
NOBLE BAY ASSET MANAGEMENT INC. Portfolio Manager>44830
NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC. / GESTION DES PLACEMENTS NORDEA, AMERIQUE DU NORD
Portfolio Manager>12590
NORREP CAPITAL MANAGEMENT LTD. Investment Fund Manager>11210
NORREP CAPITAL MANAGEMENT LTD. Portfolio Manager>11210
NORTH GROWTH MANAGEMENT LTD Investment Fund Manager>14320
NORTH GROWTH MANAGEMENT LTD Exempt Market Dealer>14320
NORTHBRIDGE CAPITAL PARTNERS LTD. Investment Fund Manager>35220
NORTHBRIDGE CAPITAL PARTNERS LTD. Exempt Market Dealer>35220
NORTHCREST PARTNERS INC. Exempt Market Dealer>26850
NORTHERN PRECIOUS METALS MANAGEMENT INC./GESTION METAUX PRECIEUX NORTHERN INC.
Portfolio Manager>21860
NORTHLAND WEALTH MANAGEMENT INC. Portfolio Manager>37060
NORTHLEAF CAPITAL PARTNERS (CANADA) LTD Investment Fund Manager>31300
NORTHLEAF CAPITAL PARTNERS (CANADA) LTD Portfolio Manager>31300
NORTHLEAF CAPITAL PARTNERS (CANADA) LTD Exempt Market Dealer>31300
NORTHSTREAM CAPITAL INC. Investment Fund Manager>53710
NORTHSTREAM CAPITAL INC. Portfolio Manager>53710
NORTHSTREAM CAPITAL INC. Exempt Market Dealer>53710
NORTHWATER CAPITAL MANAGEMENT INC. / NORTHWATER GESTION INC.
Investment Fund Manager>2560
NORTHWATER CAPITAL MANAGEMENT INC. / NORTHWATER GESTION INC.
Commodity Trading Manager>2560
NORTHWATER CAPITAL MANAGEMENT INC. / NORTHWATER GESTION INC.
Portfolio Manager>2560
56
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
NORTHWATER CAPITAL MANAGEMENT INC. / NORTHWATER GESTION INC.
Exempt Market Dealer>2560
NORTHWEST & ETHICAL INVESTMENTS L.P. Exempt Market Dealer>26910
NORTHWEST & ETHICAL INVESTMENTS L.P. Investment Fund Manager>26910
NORTHWEST & ETHICAL INVESTMENTS L.P. Portfolio Manager>26910
NORTHWOOD FAMILY OFFICE LTD. Portfolio Manager>15810
NORTHWOOD FAMILY OFFICE LTD. Exempt Market Dealer>15810
NS PARTNERS CANADA LTD. Investment Fund Manager>21660
NS PARTNERS CANADA LTD. Portfolio Manager>21660
NS PARTNERS LTD Portfolio Manager>4320
NT GLOBAL ADVISORS, INC./ CONSEILLERS MONDIAUX NT Commodity Trading Manager>1060
NT GLOBAL ADVISORS, INC./ CONSEILLERS MONDIAUX NT Investment Fund Manager>1060
NT GLOBAL ADVISORS, INC./ CONSEILLERS MONDIAUX NT Portfolio Manager>1060
NT GLOBAL ADVISORS, INC./ CONSEILLERS MONDIAUX NT Exempt Market Dealer>1060
NYLIFE DISTRIBUTORS LLC Exempt Market Dealer>23780
57
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
OAKPOINT ASSET MANAGEMENT INC. Portfolio Manager>47040
OANDA (CANADA) CORPORATION ULC Investment Dealer>24590
OBERON CAPITAL CORPORATION Exempt Market Dealer>30370
OCEANROCK INVESTMENTS INC. Investment Fund Manager>32240
OCEANROCK INVESTMENTS INC. Portfolio Manager>32240
ODLUM BROWN LIMITED Investment Dealer>2640
OECHSLE INTERNATIONAL ADVISORS, LLC Portfolio Manager>7230
OGAM LTD. Portfolio Manager>22940
OGAM LTD. Exempt Market Dealer>22940
OLDFIELD PARTNERS LLP Portfolio Manager>31510
OLYMPIAN FINANCIAL INC. Exempt Market Dealer>6820
OLYMPIAN FINANCIAL INC. Mutual Fund Dealer>6820
OMEGA SECURITIES INC. Investment Dealer>28310
OMERS INVESTMENT MANAGEMENT INC. / GESTION DE PLACEMENTS OMERS INC.
Exempt Market Dealer>9930
OMG WEALTH MANAGEMENT INC. Investment Dealer>23580
OMNIVITA CUSTOM WEALTH MANAGEMENT INC. Investment Dealer>56600
ONE CAPITAL MANAGEMENT, LLC Portfolio Manager>30870
ONEX CREDIT PARTNERS, LLC Investment Fund Manager>27800
ONEX CREDIT PARTNERS, LLC Exempt Market Dealer>27800
ONEX CREDIT PARTNERS, LLC Portfolio Manager>27800
ONTARIO WEALTH MANAGEMENT CORPORATION Exempt Market Dealer>36990
OPEN ACCESS LIMITED Exempt Market Dealer>6240
OPEN ACCESS LIMITED Mutual Fund Dealer>6240
OPEN ACCESS LIMITED Portfolio Manager>6240
OPTIMIZE INC. Investment Fund Manager>31830
OPTIMIZE INC. Portfolio Manager>31830
OPTIMUM GESTION DE PLACEMENTS INC. / OPTIMUM ASSET MANAGEMENT INC.
Portfolio Manager>20020
ORBIS INVESTMENT ADVISORY (CANADA) LIMITED Exempt Market Dealer>27900
ORIGIN MERCHANT SECURITIES INC. Exempt Market Dealer>40580
O'SHAUGHNESSY ASSET MANAGEMENT, LLC Portfolio Manager>27910
OSPREY CAPITAL PARTNERS INC. Exempt Market Dealer>8330
OTT CAPITAL CORPORATION Investment Fund Manager>28730
OTT CAPITAL CORPORATION Portfolio Manager>28730
OTT CAPITAL CORPORATION Exempt Market Dealer>28730
OTT FINANCIAL CANADA INC. Investment Dealer>53770
OTTERWOOD CAPITAL MANAGEMENT INC. Commodity Trading Manager>39850
58
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
OTTERWOOD CAPITAL MANAGEMENT INC. Portfolio Manager>39850
OUTCOME WEALTH MANAGEMENT INC. Commodity Trading Manager>56640
OUTCOME WEALTH MANAGEMENT INC. Portfolio Manager>56640
59
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
P2P FINANCIAL INC. Exempt Market Dealer>31820
PACE SECURITIES CORP. Investment Fund Manager>41510
PACE SECURITIES CORP. Investment Dealer>41510
PACIFIC SPIRIT INVESTMENT MANAGEMENT INC. Portfolio Manager>15140
PACIFICA PARTNERS INC. Investment Fund Manager>28570
PACIFICA PARTNERS INC. Portfolio Manager>28570
PADLOCK INVESTMENT MANAGEMENT INC. Portfolio Manager>39050
PALETTE INVESTMENT MANAGEMENT INC. Investment Fund Manager>49180
PALETTE INVESTMENT MANAGEMENT INC. Portfolio Manager>49180
PALETTE INVESTMENT MANAGEMENT INC. Exempt Market Dealer>49180
PALISADE CAPITAL MANAGEMENT LTD. Investment Fund Manager>16620
PALISADE CAPITAL MANAGEMENT LTD. Exempt Market Dealer>16620
PALOS WEALTH MANAGEMENT INC. Portfolio Manager>56630
PAN ASSET MANAGEMENT LTD. Investment Fund Manager>23290
PAN ASSET MANAGEMENT LTD. Portfolio Manager>23290
PAN ASSET MANAGEMENT LTD. Exempt Market Dealer>23290
PANAGORA ASSET MANAGEMENT, INC. Exempt Market Dealer>4460
PANAGORA ASSET MANAGEMENT, INC. Commodity Trading Manager>4460
PANAGORA ASSET MANAGEMENT, INC. Portfolio Manager>4460
PANGAEA ASSET MANAGEMENT INC. Investment Fund Manager>22690
PANGAEA ASSET MANAGEMENT INC. Portfolio Manager>22690
PANGAEA ASSET MANAGEMENT INC. Exempt Market Dealer>22690
PANOPLY CAPITAL ASSET MANAGEMENT INC. Portfolio Manager>27390
PANOPLY CAPITAL ASSET MANAGEMENT INC. Exempt Market Dealer>27390
PANVEST CAPITAL CORPORATION Exempt Market Dealer>7340
PARADIGM CAPITAL INC. / PARADIGME CAPITAL INC. Investment Dealer>3450
PARAGON PRIVATE WEALTH, INC./CLIENT PRIVE PARAGON Portfolio Manager>35780
PARETO INVESTMENT MANAGEMENT LIMITED Portfolio Manager>10980
PARK PRIVATE WEALTH INC. Portfolio Manager>38950
PARTNERS GROUP (USA) INC. Portfolio Manager>43570
PARTNERS GROUP (USA) INC. Exempt Market Dealer>43570
PATHFINDER ASSET MANAGEMENT LIMITED Investment Fund Manager>32660
PATHFINDER ASSET MANAGEMENT LIMITED Portfolio Manager>32660
PATHWAY CAPITAL MANAGEMENT, LP Portfolio Manager>22060
PATHWAY CAPITAL MANAGEMENT, LP Exempt Market Dealer>22060
PATIENT CAPITAL MANAGEMENT INC. Portfolio Manager>9300
PATIENT CAPITAL MANAGEMENT INC. Exempt Market Dealer>9300
60
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
PATRIMONICA GESTION D'ACTIFS INC. / PATRIMONICA ASSET MANAGEMENTS INC.
Portfolio Manager>39670
PAVILION ADVISORY GROUP LTD./PAVILION GROUPE CONSEILS LTEE
Commodity Trading Counsel>20990
PAVILION ADVISORY GROUP LTD./PAVILION GROUPE CONSEILS LTEE
Commodity Trading Manager>20990
PAVILION ADVISORY GROUP LTD./PAVILION GROUPE CONSEILS LTEE
Exempt Market Dealer>20990
PAVILION ADVISORY GROUP LTD./PAVILION GROUPE CONSEILS LTEE
Portfolio Manager>20990
PAVILION ADVISORY GROUP LTD./PAVILION GROUPE CONSEILS LTEE
Investment Fund Manager>20990
PAVILION GLOBAL MARKETS LTD Futures Commission Merchant>19170
PAVILION GLOBAL MARKETS LTD Investment Dealer>19170
PCJ INVESTMENT COUNSEL LTD. Investment Fund Manager>7060
PCJ INVESTMENT COUNSEL LTD. Portfolio Manager>7060
PEAK SECURITIES INC./VALEURS MOBILIERES PEAK INC. Investment Dealer>10710
PEARTREE SECURITIES INC. Restricted Portfolio Manager>43510
PEARTREE SECURITIES INC. Investment Fund Manager>43510
PEARTREE SECURITIES INC. Exempt Market Dealer>43510
PENDERFUND CAPITAL MANAGEMENT LTD. Exempt Market Dealer>17110
PENDERFUND CAPITAL MANAGEMENT LTD. Investment Fund Manager>17110
PENNANT CAPITAL PARTNERS INC. Exempt Market Dealer>32760
PEREGRINE INVESTMENT MANAGEMENT INC. Investment Fund Manager>17620
PEREGRINE INVESTMENT MANAGEMENT INC. Portfolio Manager>17620
PEREGRINE INVESTMENT MANAGEMENT INC. Exempt Market Dealer>17620
PERENNIAL ASSET MANAGEMENT CORP. Investment Fund Manager>21500
PERENNIAL ASSET MANAGEMENT CORP. Portfolio Manager>21500
PERENNIAL ASSET MANAGEMENT CORP. Exempt Market Dealer>21500
PERENNIAL ASSET MANAGEMENT CORP. Commodity Trading Manager>21500
PERFORMANCE CAPITAL LIMITED Portfolio Manager>5260
PERFORMANCE CAPITAL LIMITED Investment Fund Manager>5260
PERFORMANCE CAPITAL LIMITED Exempt Market Dealer>5260
PERFORMANCE EQUITY MANAGEMENT, LLC Portfolio Manager>18980
PERIMETER MARKETS INC. Futures Commission Merchant>22510
PERIMETER MARKETS INC. Investment Dealer>22510
PERISCOPE CAPITAL INC. Investment Fund Manager>29480
PERISCOPE CAPITAL INC. Portfolio Manager>29480
PERISCOPE CAPITAL INC. Commodity Trading Manager>29480
61
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
PERISCOPE CAPITAL INC. Commodity Trading Counsel>29480
PERISCOPE CAPITAL INC. Exempt Market Dealer>29480
PERRON & PARTNERS WEALTH MANAGEMENT CORP. Investment Dealer>45270
PERRON ASSET MANAGEMENT INC. Portfolio Manager>51590
PERSHING SECURITIES CANADA LIMITED Investment Dealer>32380
PETERS & CO. LIMITED Investment Dealer>2730
PFSL FUND MANAGEMENT LTD./GESTION DES FONDS PFSL LTEE Investment Fund Manager>39310
PFSL INVESTMENTS CANADA LTD. Mutual Fund Dealer>2830
PHILLIPS, HAGER & NORTH INVESTMENT FUNDS LTD. Mutual Fund Dealer>11560
PI FINANCIAL CORP./CORPORATION FINANCIERE PI Futures Commission Merchant>5290
PI FINANCIAL CORP./CORPORATION FINANCIERE PI Investment Dealer>5290
PICTET ASSET MANAGEMENT INC. / PICTET GESTION D'ACTIFS INC.
Portfolio Manager>29250
PICTET CANADA L.P./PICTET CANADA S.E.C. Investment Dealer>7090
PICTON MAHONEY ASSET MANAGEMENT / GESTION D'ACTIFS PICTON MAHONEY
Commodity Trading Manager>18750
PICTON MAHONEY ASSET MANAGEMENT / GESTION D'ACTIFS PICTON MAHONEY
Investment Fund Manager>18750
PICTON MAHONEY ASSET MANAGEMENT / GESTION D'ACTIFS PICTON MAHONEY
Portfolio Manager>18750
PICTON MAHONEY ASSET MANAGEMENT / GESTION D'ACTIFS PICTON MAHONEY
Exempt Market Dealer>18750
PIER 21 ASSET MANAGEMENT INC. / GESTION D'ACTIFS PIER 21 INC.
Portfolio Manager>23460
PIER 21 ASSET MANAGEMENT INC. / GESTION D'ACTIFS PIER 21 INC.
Exempt Market Dealer>23460
PIER 21 ASSET MANAGEMENT INC. / GESTION D'ACTIFS PIER 21 INC.
Investment Fund Manager>23460
PILLARFOUR SECURITIES INC. Exempt Market Dealer>54180
PIMCO CANADA CORP. Investment Fund Manager>18110
PIMCO CANADA CORP. Commodity Trading Manager>18110
PIMCO CANADA CORP. Portfolio Manager>18110
PIMCO CANADA CORP. Exempt Market Dealer>18110
PINEBRIDGE INVESTMENTS CANADA INC./INVESTISSEMENTS PINEBRIDGE CANADA INC.
Portfolio Manager>120
PINEBRIDGE INVESTMENTS CANADA INC./INVESTISSEMENTS PINEBRIDGE CANADA INC.
Exempt Market Dealer>120
PINNACLE WEALTH BROKERS INC. Investment Fund Manager>31740
PINNACLE WEALTH BROKERS INC. Portfolio Manager>31740
PINNACLE WEALTH BROKERS INC. Exempt Market Dealer>31740
62
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
PLACEMENTS IA CLARINGTON INC. / IA CLARINGTON INVESTMENTS INC.
Exempt Market Dealer>9110
PLACEMENTS IA CLARINGTON INC. / IA CLARINGTON INVESTMENTS INC.
Investment Fund Manager>9110
PLACEMENTS IA CLARINGTON INC. / IA CLARINGTON INVESTMENTS INC.
Portfolio Manager>9110
PLANMAR FINANCIAL CORP. Mutual Fund Dealer>2750
PLANNING CIRCLE FINANCIAL GROUP INC. Mutual Fund Dealer>4870
POLAR ASSET MANAGEMENT PARTNERS INC. Investment Fund Manager>2820
POLAR ASSET MANAGEMENT PARTNERS INC. Futures Commission Merchant>2820
POLAR ASSET MANAGEMENT PARTNERS INC. Investment Dealer>2820
POLARIS FINANCIAL INC. Portfolio Manager>28300
POLLITT & CO. INC. Investment Dealer>2760
POLLITT INVESTMENT COUNSEL INC. Investment Fund Manager>29060
POLLITT INVESTMENT COUNSEL INC. Portfolio Manager>29060
PORTFOLIO MANAGEMENT CORPORATION Portfolio Manager>2780
PORTFOLIO STEWARDS INC. Exempt Market Dealer>39380
PORTFOLIO STEWARDS INC. Portfolio Manager>39380
PORTFOLIO STRATEGIES CORPORATION Investment Fund Manager>10850
PORTFOLIO STRATEGIES CORPORATION Exempt Market Dealer>10850
PORTFOLIO STRATEGIES CORPORATION Mutual Fund Dealer>10850
PORTLAND INVESTMENT COUNSEL INC./CONSEILS EN PLACEMENTS PORTLAND INC.
Investment Fund Manager>7890
PORTLAND INVESTMENT COUNSEL INC./CONSEILS EN PLACEMENTS PORTLAND INC.
Exempt Market Dealer>7890
PORTLAND INVESTMENT COUNSEL INC./CONSEILS EN PLACEMENTS PORTLAND INC.
Portfolio Manager>7890
PORTLAND INVESTMENT COUNSEL INC./CONSEILS EN PLACEMENTS PORTLAND INC.
Mutual Fund Dealer>7890
POWERONE CAPITAL MARKETS LIMITED Exempt Market Dealer>17010
PRATTE GESTION DE PORTEFEUILLES INC./PRATTE PORTFOLIO MANAGEMENT INC.
Portfolio Manager>52660
PRESIMA INC. Investment Fund Manager>20280
PRESIMA INC. Portfolio Manager>20280
PRESIMA INC. Exempt Market Dealer>20280
PRICEWATERHOUSECOOPERS CORPORATE FINANCE INC. Exempt Market Dealer>3550
PRIMARY CAPITAL INC./GROUPE FINANCIER PRIMARY CAPITAL Exempt Market Dealer>23980
PRIME QUADRANT Portfolio Manager>10290
PRIME QUADRANT Exempt Market Dealer>10290
PRIMEVEST CAPITAL CORP. Investment Fund Manager>26780
63
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
PRIMEVEST CAPITAL CORP. Exempt Market Dealer>26780
PRIVEST WEALTH MANAGEMENT INC. Exempt Market Dealer>34330
PRIVITI CAPITAL CORPORATION Investment Fund Manager>32980
PROFESSIONAL INVESTMENTS (KINGSTON) INC. / KINGSTON INVESTMENT PROFESSIONALS INC.
Exempt Market Dealer>2790
PROFESSIONAL INVESTMENTS (KINGSTON) INC. / KINGSTON INVESTMENT PROFESSIONALS INC.
Mutual Fund Dealer>2790
PROFPLAN CAPITAL CORPORATION Exempt Market Dealer>41180
PROGRESSIVE FINANCIAL STRATEGY CAPITAL GROUP CORP. Mutual Fund Dealer>6720
PROVISUS WEALTH MANAGEMENT LIMITED Investment Fund Manager>24990
PROVISUS WEALTH MANAGEMENT LIMITED Portfolio Manager>24990
PUGSLEY CAPITAL INC. Portfolio Manager>27980
PUR INVESTING INC. Portfolio Manager>23950
PURPOSE INVESTMENTS INC. Investment Fund Manager>41580
PURPOSE INVESTMENTS INC. Portfolio Manager>41580
PURPOSE INVESTMENTS INC. Exempt Market Dealer>41580
PURSUIT FINANCIAL MANAGEMENT CORPORATION Investment Fund Manager>34990
PUTNAM INVESTMENTS CANADA ULC Investment Fund Manager>12140
PUTNAM INVESTMENTS CANADA ULC Commodity Trading Counsel>12140
PUTNAM INVESTMENTS CANADA ULC Commodity Trading Manager>12140
PUTNAM INVESTMENTS CANADA ULC Portfolio Manager>12140
PUTNAM INVESTMENTS CANADA ULC Exempt Market Dealer>12140
PWL CAPITAL INC. Investment Dealer>7170
PYRFORD INTERNATIONAL LIMITED Portfolio Manager>4350
PZENA INVESTMENT MANAGEMENT, LLC Exempt Market Dealer>18100
64
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
Q CAPITAL MANAGEMENT LTD. Commodity Trading Manager>56570
Q1 CAPITAL PARTNERS INC.. Exempt Market Dealer>22480
QS INVESTORS, LLC Portfolio Manager>33680
QTRADE ASSET MANAGEMENT INC./GESTION D'ACTIFS QTRADE INC.
Exempt Market Dealer>17480
QTRADE ASSET MANAGEMENT INC./GESTION D'ACTIFS QTRADE INC.
Mutual Fund Dealer>17480
QTRADE SECURITIES INC. / VALEURS MOBILIERES QTRADE INC. Investment Dealer>9860
QUADRANT ASSET MANAGEMENT Investment Fund Manager>18600
QUADRANT ASSET MANAGEMENT Exempt Market Dealer>18600
QUADRANT ASSET MANAGEMENT Portfolio Manager>18600
QUADRAVEST CAPITAL MANAGEMENT INC. Exempt Market Dealer>1820
QUADRAVEST CAPITAL MANAGEMENT INC. Investment Fund Manager>1820
QUADRAVEST CAPITAL MANAGEMENT INC. Portfolio Manager>1820
QUADRUS INVESTMENT SERVICES LTD./SERVICES D'INVESTISSEMENT QUADRUS LTEE.
Mutual Fund Dealer>2800
QUANTUM ADVISORS PRIVATE LIMITED Restricted Portfolio Manager>48820
QUANTUS INVESTMENT CORP. Exempt Market Dealer>32820
QUANTUS INVESTMENT CORP. Portfolio Manager>32820
QUBD CAPITAL INC. Commodity Trading Manager>53930
QUBD CAPITAL INC. Investment Fund Manager>53930
QUBD CAPITAL INC. Portfolio Manager>53930
QUBD CAPITAL INC. Exempt Market Dealer>53930
QUEEN FINANCIAL GROUP INC. Exempt Market Dealer>22680
QUEEN FINANCIAL GROUP INC. Mutual Fund Dealer>22680
QUEENSBURY SECURITIES INC. Investment Dealer>3030
QUEENSBURY STRATEGIES INC. Exempt Market Dealer>4200
QUEENSBURY STRATEGIES INC. Mutual Fund Dealer>4200
QUEENSVILLE GLOBAL SECURITIES INC. Exempt Market Dealer>57380
QUESTRADE WEALTH MANAGEMENT INC Portfolio Manager>45780
QUESTRADE WEALTH MANAGEMENT INC Investment Fund Manager>45780
QUESTRADE WEALTH MANAGEMENT INC Exempt Market Dealer>45780
QUESTRADE, INC. Futures Commission Merchant>9730
QUESTRADE, INC. Investment Dealer>9730
QV INVESTORS INC. / INVESTISSEURS QV Investment Fund Manager>6750
QV INVESTORS INC. / INVESTISSEURS QV Portfolio Manager>6750
QVO VADIS INVESTMENT MANAGEMENT INC. Portfolio Manager>36090
QWEST INVESTMENT FUND MANAGEMENT LTD. Exempt Market Dealer>22000
65
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
QWEST INVESTMENT FUND MANAGEMENT LTD. Portfolio Manager>22000
QWEST INVESTMENT FUND MANAGEMENT LTD. Investment Fund Manager>22000
66
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
R.E.G.A.R. GESTION PRIVEE INC. Investment Fund Manager>19700
R.E.G.A.R. GESTION PRIVEE INC. Portfolio Manager>19700
R.J. O'BRIEN & ASSOCIATES CANADA INC. Investment Dealer>30390
R.J. O'BRIEN & ASSOCIATES CANADA INC. Futures Commission Merchant>30390
R.N.CROFT FINANCIAL GROUP INC. / R.N.CROFT FINANCIAL GROUP INC.
Portfolio Manager>860
R.N.CROFT FINANCIAL GROUP INC. / R.N.CROFT FINANCIAL GROUP INC.
Investment Fund Manager>860
RABO SECURITIES CANADA, INC Investment Dealer>56290
RADIN CAPITAL PARTNERS INC. Investment Fund Manager>37920
RADIN CAPITAL PARTNERS INC. Exempt Market Dealer>37920
RADIN CAPITAL PARTNERS INC. Portfolio Manager>37920
RAE & LIPSKIE INVESTMENT COUNSEL INC. Investment Fund Manager>3110
RAE & LIPSKIE INVESTMENT COUNSEL INC. Portfolio Manager>3110
RAINTREE FINANCIAL SOLUTIONS INC. Exempt Market Dealer>32410
RAINTREE WEALTH MANAGEMENT INC. Investment Fund Manager>57280
RAINTREE WEALTH MANAGEMENT INC. Portfolio Manager>57280
RARE INFRASTRUCTURE (NORTH AMERICA) PTY. LTD. Portfolio Manager>35670
RAYMOND JAMES INVESTMENT COUNSEL LTD./CONSEILS EN PLACEMENTS RAYMOND JAMES LTEE.
Investment Fund Manager>16900
RAYMOND JAMES INVESTMENT COUNSEL LTD./CONSEILS EN PLACEMENTS RAYMOND JAMES LTEE.
Portfolio Manager>16900
RAYMOND JAMES LTD. Investment Dealer>8240
RAYNE CAPITAL MANAGEMENT INC. Investment Fund Manager>25450
RAYNE CAPITAL MANAGEMENT INC. Exempt Market Dealer>25450
RBC DIRECT INVESTING INC./RBC PLACEMENTS EN DIRECT INC. Investment Dealer>3200
RBC DOMINION SECURITIES INC./RBC DOMINION VALEURS MOBILIERES INC.
Futures Commission Merchant>3160
RBC DOMINION SECURITIES INC./RBC DOMINION VALEURS MOBILIERES INC.
Investment Dealer>3160
RBC GLOBAL ASSET MANAGEMENT INC./RBC GESTION MONDIALE D'ACTIFS INC.
Investment Fund Manager>3090
RBC GLOBAL ASSET MANAGEMENT INC./RBC GESTION MONDIALE D'ACTIFS INC.
Commodity Trading Manager>3090
RBC GLOBAL ASSET MANAGEMENT INC./RBC GESTION MONDIALE D'ACTIFS INC.
Portfolio Manager>3090
RBC GLOBAL ASSET MANAGEMENT INC./RBC GESTION MONDIALE D'ACTIFS INC.
Exempt Market Dealer>3090
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC./RBC PHILLIPS, HAGER & NORTH SERVICES-CONSEILS EN PLACEMENTS INC.
Portfolio Manager>630
67
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
RCI INVESTMENT MANAGEMENT INC. Investment Fund Manager>28770
RCI INVESTMENT MANAGEMENT INC. Portfolio Manager>28770
RCI INVESTMENT MANAGEMENT INC. Exempt Market Dealer>28770
RCM PARTNERS INC. Investment Fund Manager>28200
RCM PARTNERS INC. Portfolio Manager>28200
RCM PARTNERS INC. Exempt Market Dealer>28200
REAL CROWD CAPITAL INC. Exempt Market Dealer>54940
REALCAP HOLDINGS LIMITED Portfolio Manager>3180
REALTY FINANCIAL ADVISORS INC. Exempt Market Dealer>24920
RED CLOUD KLONDIKE STRIKE INC. Exempt Market Dealer>49570
RED SKY CAPITAL MANAGEMENT LTD. Exempt Market Dealer>32250
RED SKY CAPITAL MANAGEMENT LTD. Investment Fund Manager>32250
RED SKY CAPITAL MANAGEMENT LTD. Portfolio Manager>32250
REDWOOD ASSET MANAGEMENT INC. Portfolio Manager>13420
REDWOOD ASSET MANAGEMENT INC. Investment Fund Manager>13420
REDWOOD ASSET MANAGEMENT INC. Exempt Market Dealer>13420
REEL CAPITAL CORPORATION Exempt Market Dealer>11380
REMPART ASSET MANAGEMENT INC./GESTION DE PLACEMENTS REMPART INC.
Portfolio Manager>32560
RENVEST MERCANTILE BANCORP. INC. Exempt Market Dealer>22430
RESOLUTE FUNDS LIMITED Investment Fund Manager>18890
RESOLUTE FUNDS LIMITED Portfolio Manager>18890
RESOLVE ASSET MANAGEMENT INC. Investment Fund Manager>51220
RESOLVE ASSET MANAGEMENT INC. Portfolio Manager>51220
RESOLVE ASSET MANAGEMENT INC. Exempt Market Dealer>51220
RESPONSIVE CAPITAL MANAGEMENT INC. Portfolio Manager>54540
RETIRE FIRST LTD. Investment Dealer>22580
RETURN ON INNOVATION ADVISORS LTD. Investment Fund Manager>13130
RETURN ON INNOVATION ADVISORS LTD. Exempt Market Dealer>13130
RETURN ON INNOVATION ADVISORS LTD. Portfolio Manager>13130
RICHARDSON GMP LIMITED / RICHARDSON GMP LIMITEE Investment Dealer>21970
RICHMOND EQUITY MANAGEMENT LTD. Investment Fund Manager>31920
RICHMOND EQUITY MANAGEMENT LTD. Exempt Market Dealer>31920
RICHTER FAMILY OFFICE./ BUREAU FAMILIAL RICHTER INC. Portfolio Manager>10170
RIDGEWOOD CAPITAL ASSET MANAGEMENT INC. Investment Fund Manager>27940
RIDGEWOOD CAPITAL ASSET MANAGEMENT INC. Portfolio Manager>27940
RIDGEWOOD CAPITAL ASSET MANAGEMENT INC. Exempt Market Dealer>27940
RIDGEWOOD CAPITAL ASSET MANAGEMENT INC. Mutual Fund Dealer>27940
68
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
RIGEL MERCANTILE LIMITED Commodity Trading Manager>54500
RIVER ROAD ASSET MANAGEMENT, LLC Portfolio Manager>33360
ROADMAP CAPITAL INC. Portfolio Manager>44800
ROADMAP CAPITAL INC. Exempt Market Dealer>44800
ROADMAP CAPITAL INC. Investment Fund Manager>44800
ROBERT EVANS INVESTMENT COUNSEL LIMITED Investment Fund Manager>1170
ROBERT EVANS INVESTMENT COUNSEL LIMITED Portfolio Manager>1170
ROBSON CAPITAL MANAGEMENT INC. Investment Fund Manager>16060
ROBSON CAPITAL MANAGEMENT INC. Portfolio Manager>16060
ROBSON CAPITAL MANAGEMENT INC. Exempt Market Dealer>16060
ROBSON CAPITAL PARTNERS CORP. Exempt Market Dealer>38440
ROCKLINC INVESTMENT PARTNERS INC. Portfolio Manager>31020
ROCKLINC INVESTMENT PARTNERS INC. Exempt Market Dealer>31020
ROCKLINC INVESTMENT PARTNERS INC. Investment Fund Manager>31020
ROGAN INVESTMENT MANAGEMENT LIMITED Portfolio Manager>3060
ROGERS GROUP INVESTMENT ADVISORS LTD. Investment Dealer>11460
ROGERSCASEY CANADA, INC. Portfolio Manager>2230
ROMSPEN INVESTMENT CORPORATION Exempt Market Dealer>21070
ROSALIND ADVISORS, INC. Investment Fund Manager>24830
ROSALIND ADVISORS, INC. Portfolio Manager>24830
ROSALIND ADVISORS, INC. Exempt Market Dealer>24830
ROSS SMITH ASSET MANAGEMENT ULC Investment Fund Manager>26530
ROSS SMITH ASSET MANAGEMENT ULC Portfolio Manager>26530
ROSS SMITH ASSET MANAGEMENT ULC Exempt Market Dealer>26530
ROSSEAU ASSET MANAGEMENT LTD. Investment Fund Manager>7970
ROSSEAU ASSET MANAGEMENT LTD. Portfolio Manager>7970
ROSSEAU ASSET MANAGEMENT LTD. Exempt Market Dealer>7970
ROTHSCHILD (CANADA) SECURITIES INC. / VALEURS MOBILIERES ROTHSCHILD (CANADA) INC.
Exempt Market Dealer>7100
ROUNDTABLE CAPITAL PARTNERS INC. Investment Fund Manager>22560
ROUNDTABLE CAPITAL PARTNERS INC. Portfolio Manager>22560
ROUNDTABLE CAPITAL PARTNERS INC. Exempt Market Dealer>22560
ROYAL MUTUAL FUNDS INC./FONDS D'INVESTISSEMENT ROYAL INC.
Mutual Fund Dealer>3190
RP INVESTMENT ADVISORS LP Commodity Trading Manager>57590
RP INVESTMENT ADVISORS LP Investment Fund Manager>57590
RP INVESTMENT ADVISORS LP Portfolio Manager>57590
RP INVESTMENT ADVISORS LP Exempt Market Dealer>57590
69
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
RT MOSAIC WEALTH MANAGEMENT LTD. Portfolio Manager>51330
RUSSELL INVESTMENTS CANADA LIMITED / INVESTISSEMENTS RUSSELL CANADA LIMITEE
Investment Fund Manager>3080
RUSSELL INVESTMENTS CANADA LIMITED / INVESTISSEMENTS RUSSELL CANADA LIMITEE
Portfolio Manager>3080
RUSSELL INVESTMENTS CANADA LIMITED / INVESTISSEMENTS RUSSELL CANADA LIMITEE
Commodity Trading Manager>3080
RUSSELL INVESTMENTS CANADA LIMITED / INVESTISSEMENTS RUSSELL CANADA LIMITEE
Exempt Market Dealer>3080
RUSSELL INVESTMENTS CANADA LIMITED / INVESTISSEMENTS RUSSELL CANADA LIMITEE
Mutual Fund Dealer>3080
RWS CAPITAL SERVICES INC. Exempt Market Dealer>17350
RYAN MORTGAGE INCOME FUND INC. Exempt Market Dealer>38750
70
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
SAGUENAY STRATHMORE CAPITAL INC. Exempt Market Dealer>36680
SAGUENAY STRATHMORE CAPITAL INC. Portfolio Manager>36680
SAGUENAY STRATHMORE CAPITAL, L.P, Investment Fund Manager>21710
SAGUENAY STRATHMORE CAPITAL, L.P, Portfolio Manager>21710
SAGUENAY STRATHMORE CAPITAL, L.P, Exempt Market Dealer>21710
SAMARA CAPITAL INC. Investment Fund Manager>36660
SAMARA CAPITAL INC. Portfolio Manager>36660
SAMARA CAPITAL INC. Exempt Market Dealer>36660
SAMPFORD ADVISORS INC. Exempt Market Dealer>54910
SANDSTONE ASSET MANAGEMENT INC. Investment Dealer>17800
SANFORD C. BERNSTEIN & CO., LLC Investment Fund Manager>510
SANFORD C. BERNSTEIN & CO., LLC Commodity Trading Manager>510
SANFORD C. BERNSTEIN & CO., LLC Portfolio Manager>510
SANFORD C. BERNSTEIN & CO., LLC Exempt Market Dealer>510
SANFORD C. BERNSTEIN (CANADA) LIMITED Investment Dealer>52830
SARBIT ADVISORY SERVICES INC. / SERVICES DE CONSULTATION SARBIT
Portfolio Manager>21320
SCALE CAPITAL MANAGEMENT INC. Portfolio Manager>17170
SCALE CAPITAL MANAGEMENT INC. Exempt Market Dealer>17170
SCALE CAPITAL MANAGEMENT INC. Investment Fund Manager>17170
SCARTHINGMOOR ASSET MANAGEMENT INC. Portfolio Manager>6510
SCHEER, ROWLETT & ASSOCIATES INVESTMENT MANAGEMENT LTD./ GESTION DE PLACEMENTS SCHEER, ROWLETT & ASSOCIES LTEE
Investment Fund Manager>740
SCHEER, ROWLETT & ASSOCIATES INVESTMENT MANAGEMENT LTD./ GESTION DE PLACEMENTS SCHEER, ROWLETT & ASSOCIES LTEE
Portfolio Manager>740
SCHEER, ROWLETT & ASSOCIATES INVESTMENT MANAGEMENT LTD./ GESTION DE PLACEMENTS SCHEER, ROWLETT & ASSOCIES LTEE
Exempt Market Dealer>740
SCHRODER FUND ADVISORS LLC Exempt Market Dealer>26620
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC. / GESTION DE PLACEMENTS SCHRODER (AMERIQUE DU NORD) INC.
Portfolio Manager>12130
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LIMITED / GESTION DE PLACEMENTS SCHRODER ( AMERIQUE DU NORD)
Portfolio Manager>3410
SCHWABEN CAPITAL GROUP LIMITED Portfolio Manager>29510
SCHWABEN CAPITAL GROUP LIMITED Exempt Market Dealer>29510
SCIVEST CAPITAL MANAGEMENT INC. Portfolio Manager>16400
SCIVEST CAPITAL MANAGEMENT INC. Exempt Market Dealer>16400
SCOTIA CAPITAL INC. / SCOTIA CAPITAUX INC. Futures Commission Merchant>3460
71
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
SCOTIA CAPITAL INC. / SCOTIA CAPITAUX INC. Investment Dealer>3460
SCOTIA MANAGED COMPANIES ADMINISTRATION INC. Investment Fund Manager>35620
SCOTIA SECURITIES INC./PLACEMENTS SCOTIA INC. Mutual Fund Dealer>30020
SEAMARK ASSET MANAGEMENT LTD. Investment Fund Manager>44880
SEAMARK ASSET MANAGEMENT LTD. Portfolio Manager>44880
SEAMARK ASSET MANAGEMENT LTD. Exempt Market Dealer>44880
SECURITY FINANCIAL SERVICES & INVESTMENT CORP. Mutual Fund Dealer>3250
SECUTOR CAPITAL MANAGEMENT CORPORATION Investment Fund Manager>12930
SECUTOR CAPITAL MANAGEMENT CORPORATION Investment Dealer>12930
SEI INVESTMENTS CANADA COMPANY / SOCIETE DE PLACEMENTS SEI CANADA
Investment Fund Manager>4620
SEI INVESTMENTS CANADA COMPANY / SOCIETE DE PLACEMENTS SEI CANADA
Commodity Trading Manager>4620
SEI INVESTMENTS CANADA COMPANY / SOCIETE DE PLACEMENTS SEI CANADA
Portfolio Manager>4620
SEI INVESTMENTS CANADA COMPANY / SOCIETE DE PLACEMENTS SEI CANADA
Exempt Market Dealer>4620
SENTRY INVESTMENTS INC./SENTRY INVESTISSEMENTS INC. Exempt Market Dealer>28590
SENTRY INVESTMENTS INC./SENTRY INVESTISSEMENTS INC. Investment Fund Manager>28590
SENTRY INVESTMENTS INC./SENTRY INVESTISSEMENTS INC. Commodity Trading Manager>28590
SENTRY INVESTMENTS INC./SENTRY INVESTISSEMENTS INC. Portfolio Manager>28590
SENTRY INVESTMENTS INC./SENTRY INVESTISSEMENTS INC. Mutual Fund Dealer>28590
SERVICES EN PLACEMENTS PEAK INC. Mutual Fund Dealer>27990
SERVICES FINANCIERS QUINTAL & CO. INC. / QUINTAL & CO. FINANCIAL SERVICES INC.
Exempt Market Dealer>41220
SETTER CAPITAL INC. Exempt Market Dealer>26730
SEVEN HILLS CAPITAL CORP. Portfolio Manager>50050
SEYMOUR INVESTMENT MANAGEMENT LTD. Investment Fund Manager>31390
SEYMOUR INVESTMENT MANAGEMENT LTD. Portfolio Manager>31390
SEYMOUR INVESTMENT MANAGEMENT LTD. Exempt Market Dealer>31390
SHAH FINANCIAL PLANNING INC. Mutual Fund Dealer>8940
SHARP ASSET MANAGEMENT INC. Portfolio Manager>5870
SHAUNESSY INVESTMENT COUNSEL INC. Portfolio Manager>12210
SHERBROOKE STREET CAPITAL (SSC) INC. / CAPITAL SHERBROOKE STREET (SSC) INC.
Investment Dealer>16140
SHERPA ASSET MANAGEMENT INC Investment Fund Manager>26310
SHERPA ASSET MANAGEMENT INC Exempt Market Dealer>26310
SHERPA ASSET MANAGEMENT INC Portfolio Manager>26310
SHORCAN BROKERS LIMITED Exempt Market Dealer>3470
72
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
SHORELINE WEST ASSET MANAGEMENT INC. Portfolio Manager>27780
SHORELINE WEST ASSET MANAGEMENT INC. Investment Fund Manager>27780
SHORELINE WEST ASSET MANAGEMENT INC. Exempt Market Dealer>27780
SIA WEALTH MANAGEMENT INC. Investment Fund Manager>48340
SIA WEALTH MANAGEMENT INC. Portfolio Manager>48340
SIA WEALTH MANAGEMENT INC. Exempt Market Dealer>48340
SIGMA ANALYSIS & MANAGEMENT LTD. Investment Fund Manager>10390
SIGMA ANALYSIS & MANAGEMENT LTD. Commodity Trading Manager>10390
SIGMA ANALYSIS & MANAGEMENT LTD. Commodity Trading Counsel>10390
SIGMA ANALYSIS & MANAGEMENT LTD. Portfolio Manager>10390
SILVER HEIGHTS CAPITAL MANAGEMENT INC. Portfolio Manager>24050
SILVER HEIGHTS CAPITAL MANAGEMENT INC. Exempt Market Dealer>24050
SILVER MAPLE VENTURES INC. Exempt Market Dealer>46480
SILVERCOVE FUND MANAGEMENT LTD. Investment Fund Manager>28860
SILVERCOVE FUND MANAGEMENT LTD. Portfolio Manager>28860
SILVERCOVE FUND MANAGEMENT LTD. Exempt Market Dealer>28860
SILVERCREEK MANAGEMENT INC. Investment Fund Manager>9890
SILVERCREEK MANAGEMENT INC. Portfolio Manager>9890
SILVERCREEK MANAGEMENT INC. Exempt Market Dealer>9890
SILVERTON FINANCIAL INC. Exempt Market Dealer>55860
SINCLAIR-COCKBURN FINANCIAL SERVICES INC. Exempt Market Dealer>7470
SINCLAIR-COCKBURN FINANCIAL SERVICES INC. Mutual Fund Dealer>7470
SIONNA INVESTMENT MANAGERS INC./GESTIONNAIRES DE PLACEMENTS SIONNA INC.
Investment Fund Manager>12340
SIONNA INVESTMENT MANAGERS INC./GESTIONNAIRES DE PLACEMENTS SIONNA INC.
Portfolio Manager>12340
SIONNA INVESTMENT MANAGERS INC./GESTIONNAIRES DE PLACEMENTS SIONNA INC.
Exempt Market Dealer>12340
SKYLINE WEALTH MANAGEMENT INC. Exempt Market Dealer>33440
SKYON FINANCIAL CORP. Portfolio Manager>56120
SLABE INC. Portfolio Manager>7040
SLATER ASSET MANAGEMENT INC. Portfolio Manager>29970
SMART INVESTMENTS LTD. Exempt Market Dealer>40590
SMART INVESTMENTS LTD. Portfolio Manager>40590
SMART MONEY CAPITAL MANAGEMENT INC. Portfolio Manager>46920
SNOWLINE CAPITAL MANAGEMENT INC. Investment Fund Manager>54010
SNOWLINE CAPITAL MANAGEMENT INC. Portfolio Manager>54010
SNOWLINE CAPITAL MANAGEMENT INC. Exempt Market Dealer>54010
73
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
SOCIETE DE GESTION D'INVESTISSEMENT HEWARD INC./ HEWARD INVESTMENT MANAGEMENT INC.
Investment Fund Manager>1620
SOCIETE DE GESTION D'INVESTISSEMENT HEWARD INC./ HEWARD INVESTMENT MANAGEMENT INC.
Portfolio Manager>1620
SOCIETE DE GESTION D'INVESTISSEMENT HEWARD INC./ HEWARD INVESTMENT MANAGEMENT INC.
Exempt Market Dealer>1620
SOCIETE DE GESTION PRIVEE DES FONDS FMOQ INC Exempt Market Dealer>26160
SOCIETE GENERALE CAPITAL CANADA INC. Futures Commission Merchant>27130
SOCIETE GENERALE CAPITAL CANADA INC. Investment Dealer>27130
SODHI ASSET MANAGEMENT INC. Portfolio Manager>45820
SODHI ASSET MANAGEMENT INC. Exempt Market Dealer>45820
SODHI ASSET MANAGEMENT INC. Investment Fund Manager>45820
SOLIUM FINANCIAL INC. Investment Dealer>39130
SOMERSET CAPITAL MANAGEMENT LLP Portfolio Manager>27720
SOUNDVEST CAPITAL MANAGEMENT LTD. Investment Fund Manager>1830
SOUNDVEST CAPITAL MANAGEMENT LTD. Portfolio Manager>1830
SOUNDVEST CAPITAL MANAGEMENT LTD. Exempt Market Dealer>1830
SOUTTERHAM INVESTMENTS LIMITED Investment Fund Manager>11480
SOUTTERHAM INVESTMENTS LIMITED Portfolio Manager>11480
SOUTTERHAM INVESTMENTS LIMITED Exempt Market Dealer>11480
SPARTAN FUND MANAGEMENT INC. Portfolio Manager>20500
SPARTAN FUND MANAGEMENT INC. Investment Fund Manager>20500
SPARTAN FUND MANAGEMENT INC. Commodity Trading Manager>20500
SPARTAN FUND MANAGEMENT INC. Exempt Market Dealer>20500
SPHERE INVESTMENT MANAGEMENT INC. Investment Fund Manager>54020
SPHERE INVESTMENT MANAGEMENT INC. Portfolio Manager>54020
SPHERE INVESTMENT MANAGEMENT INC. Exempt Market Dealer>54020
SPROTT ASSET MANAGEMENT LP Commodity Trading Manager>28740
SPROTT ASSET MANAGEMENT LP Investment Fund Manager>28740
SPROTT ASSET MANAGEMENT LP Portfolio Manager>28740
SPROTT ASSET MANAGEMENT LP Exempt Market Dealer>28740
SPROTT PRIVATE WEALTH LP Investment Dealer>29070
SPRUCEGROVE INVESTMENT MANAGEMENT LTD. / GESTION DE PLACEMENTS SPRUCEGROVE
Investment Fund Manager>3990
SPRUCEGROVE INVESTMENT MANAGEMENT LTD. / GESTION DE PLACEMENTS SPRUCEGROVE
Portfolio Manager>3990
SPRUCEVIEW CAPITAL PARTNERS LLC. Portfolio Manager>48510
SPRUCEVIEW CAPITAL PARTNERS LLC. Exempt Market Dealer>48510
SPRUNG INVESTMENT MANAGEMENT INC. Portfolio Manager>21900
74
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
STABLEVIEW ASSET MANAGEMENT INC. Exempt Market Dealer>44420
STABLEVIEW ASSET MANAGEMENT INC. Investment Fund Manager>44420
STABLEVIEW ASSET MANAGEMENT INC. Portfolio Manager>44420
STACEY MUIRHEAD CAPITAL MANAGEMENT LTD. Investment Fund Manager>6880
STACEY MUIRHEAD CAPITAL MANAGEMENT LTD. Portfolio Manager>6880
STACEY MUIRHEAD CAPITAL MANAGEMENT LTD. Exempt Market Dealer>6880
STANDARD LIFE INVESTMENTS (USA) LTD Exempt Market Dealer>51070
STANTON ASSET MANAGEMENT INC./GESTION D'ACTIFS STANTON INC.
Investment Fund Manager>20470
STANTON ASSET MANAGEMENT INC./GESTION D'ACTIFS STANTON INC.
Commodity Trading Manager>20470
STANTON ASSET MANAGEMENT INC./GESTION D'ACTIFS STANTON INC.
Exempt Market Dealer>20470
STANTON ASSET MANAGEMENT INC./GESTION D'ACTIFS STANTON INC.
Portfolio Manager>20470
STARBRIDGE CAPITAL LTD. Portfolio Manager>41500
STARBRIDGE CAPITAL LTD. Exempt Market Dealer>41500
STARK INVESTMENTS (CANADA) CORP. Portfolio Manager>21870
STARVINE CAPITAL CORPORATION Portfolio Manager>50120
STATE FARM INVESTOR SERVICES (CANADA) CO. Mutual Fund Dealer>10450
STATE STREET GLOBAL MARKETS CANADA INC. / MARCHES MONDIAUX STATE STREET CANADA INC.
Investment Dealer>8850
STEADYHAND INVESTMENT FUNDS INC. Mutual Fund Dealer>24160
STEADYHAND INVESTMENT MANAGEMENT LTD. Investment Fund Manager>23820
STEADYHAND INVESTMENT MANAGEMENT LTD. Portfolio Manager>23820
STEEPE & CO. LTD. Exempt Market Dealer>25760
STEPHENAVENUE SECURITIES INC. Investment Dealer>8080
STEPHENSON & COMPANY CAPITAL MANAGEMENT INC. Exempt Market Dealer>48100
STEPHENSON & COMPANY CAPITAL MANAGEMENT INC. Investment Fund Manager>48100
STEPHENSON & COMPANY CAPITAL MANAGEMENT INC. Portfolio Manager>48100
STERLING BRIDGE MORTGAGE CORP. Exempt Market Dealer>33050
STERLING MUTUALS INC. Exempt Market Dealer>5910
STERLING MUTUALS INC. Mutual Fund Dealer>5910
STEVLOC MANAGEMENT INC. Exempt Market Dealer>46930
STODGELL INVESTMENT MANAGEMENT LIMITED Portfolio Manager>7840
STONE ASSET MANAGEMENT LIMITED Restricted Dealer>9330
STONE ASSET MANAGEMENT LIMITED Investment Fund Manager>9330
STONE ASSET MANAGEMENT LIMITED Portfolio Manager>9330
75
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
STONEBRIDGE FINANCIAL CORPORATION/CORPORATION FINANCIERE STONEBRIDGE
Investment Fund Manager>9290
STONEBRIDGE FINANCIAL CORPORATION/CORPORATION FINANCIERE STONEBRIDGE
Portfolio Manager>9290
STONEBRIDGE FINANCIAL CORPORATION/CORPORATION FINANCIERE STONEBRIDGE
Exempt Market Dealer>9290
STONEBROOKE ASSET MANAGEMENT LTD. Portfolio Manager>22370
STONECASTLE INVESTMENT MANAGEMENT INC. Exempt Market Dealer>26340
STONECASTLE INVESTMENT MANAGEMENT INC. Portfolio Manager>26340
STONEHOUSE CAPITAL MANAGEMENT INC. Portfolio Manager>10030
STOREYWORKS CAPITAL INC. Exempt Market Dealer>28920
STORMCROW CAPITAL LIMITED Exempt Market Dealer>50240
STORNOWAY PORTFOLIO MANAGEMENT INC. Investment Fund Manager>18410
STORNOWAY PORTFOLIO MANAGEMENT INC. Portfolio Manager>18410
STORNOWAY PORTFOLIO MANAGEMENT INC. Exempt Market Dealer>18410
STRAND SECURITIES CORPORATION Exempt Market Dealer>3320
STRATHBRIDGE ASSET MANAGEMENT INC./ GESTION D'ACTIFS STRATHBRIDGE INC.
Investment Fund Manager>690
STRATHBRIDGE ASSET MANAGEMENT INC./ GESTION D'ACTIFS STRATHBRIDGE INC.
Portfolio Manager>690
STRATHBRIDGE ASSET MANAGEMENT INC./ GESTION D'ACTIFS STRATHBRIDGE INC.
Exempt Market Dealer>690
STRATHBRIDGE ASSET MANAGEMENT INC./ GESTION D'ACTIFS STRATHBRIDGE INC.
Mutual Fund Dealer>690
STRATIGIS CAPITAL ADVISORS INC. Portfolio Manager>42080
STRATIGIS CAPITAL ADVISORS INC. Exempt Market Dealer>42080
STRATIGIS CAPITAL ADVISORS INC. Investment Fund Manager>42080
STYLUS ASSET MANAGEMENT INC. Investment Fund Manager>680
STYLUS ASSET MANAGEMENT INC. Portfolio Manager>680
STYLUS ASSET MANAGEMENT INC. Exempt Market Dealer>680
SUCCESSFUL INVESTOR WEALTH MANAGEMENT INC. Investment Fund Manager>6350
SUCCESSFUL INVESTOR WEALTH MANAGEMENT INC. Portfolio Manager>6350
SUCCESSFUL INVESTOR WEALTH MANAGEMENT INC. Exempt Market Dealer>6350
SUMMERHILL CAPITAL MANAGEMENT INC. Portfolio Manager>16980
SUMMERWOOD CAPITAL CORP. Investment Fund Manager>23700
SUMMERWOOD CAPITAL CORP. Portfolio Manager>23700
SUMMERWOOD CAPITAL CORP. Commodity Trading Manager>23700
SUMMERWOOD CAPITAL CORP. Commodity Trading Counsel>23700
SUMMERWOOD CAPITAL CORP. Exempt Market Dealer>23700
76
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
SUN LIFE FINANCIAL INVESTMENT SERVICES (CANADA) INC./PLACEMENTS FINANCIERE SUN LIFE (CANADA) INC.
Mutual Fund Dealer>2260
SUN LIFE GLOBAL INVESTMENTS (CANADA) INC./PLACEMENTS MONDIAUX SUN LIFE (CANADA) INC.
Mutual Fund Dealer>27680
SUN LIFE GLOBAL INVESTMENTS (CANADA) INC./PLACEMENTS MONDIAUX SUN LIFE (CANADA) INC.
Commodity Trading Manager>27680
SUN LIFE GLOBAL INVESTMENTS (CANADA) INC./PLACEMENTS MONDIAUX SUN LIFE (CANADA) INC.
Investment Fund Manager>27680
SUN LIFE GLOBAL INVESTMENTS (CANADA) INC./PLACEMENTS MONDIAUX SUN LIFE (CANADA) INC.
Portfolio Manager>27680
SUN LIFE INSTITUTIONAL INVESTMENTS (CANADA) INC./PLACEMENTS INSTITUTIONNEL SUN LIFE (CANADA) INC.
Exempt Market Dealer>45590
SUN LIFE INSTITUTIONAL INVESTMENTS (CANADA) INC./PLACEMENTS INSTITUTIONNEL SUN LIFE (CANADA) INC.
Commodity Trading Manager>45590
SUN LIFE INSTITUTIONAL INVESTMENTS (CANADA) INC./PLACEMENTS INSTITUTIONNEL SUN LIFE (CANADA) INC.
Investment Fund Manager>45590
SUN LIFE INSTITUTIONAL INVESTMENTS (CANADA) INC./PLACEMENTS INSTITUTIONNEL SUN LIFE (CANADA) INC.
Portfolio Manager>45590
SUNEL SECURITIES INC. Exempt Market Dealer>24940
SUPERSTAR INVESTMENT CORP. Mutual Fund Dealer>6740
77
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
T. ROWE PRICE (CANADA), INC. Investment Fund Manager>4570
T. ROWE PRICE (CANADA), INC. Exempt Market Dealer>4570
T. ROWE PRICE (CANADA), INC. Portfolio Manager>4570
T.I.P. WEALTH MANAGER INC. Investment Fund Manager>23710
T.I.P. WEALTH MANAGER INC. Portfolio Manager>23710
T.I.P. WEALTH MANAGER INC. Exempt Market Dealer>23710
TACITA CAPITAL INC. Investment Fund Manager>23760
TACITA CAPITAL INC. Exempt Market Dealer>23760
TACITA CAPITAL INC. Portfolio Manager>23760
TACTEX GESTION D'ACTIFS INC. / TACTEX ASSET MANAGEMENT INC.
Investment Fund Manager>30250
TACTEX GESTION D'ACTIFS INC. / TACTEX ASSET MANAGEMENT INC.
Exempt Market Dealer>30250
TACTEX GESTION D'ACTIFS INC. / TACTEX ASSET MANAGEMENT INC.
Portfolio Manager>30250
TAHO CAPITAL MANAGEMENT, INC. Commodity Trading Manager>49500
TAHO CAPITAL MANAGEMENT, INC. Investment Fund Manager>49500
TAHO CAPITAL MANAGEMENT, INC. Portfolio Manager>49500
TAHO CAPITAL MANAGEMENT, INC. Exempt Market Dealer>49500
TAILWIND CAPITAL INC. Investment Fund Manager>16930
TAILWIND CAPITAL INC. Portfolio Manager>16930
TAILWIND CAPITAL INC. Exempt Market Dealer>16930
TAKOTA ASSET MANAGEMENT INC. Investment Fund Manager>39270
TAKOTA ASSET MANAGEMENT INC. Portfolio Manager>39270
TAKOTA ASSET MANAGEMENT INC. Exempt Market Dealer>39270
TANCOOK INVESTMENT MANAGEMENT LIMITED Exempt Market Dealer>52950
TANCOOK INVESTMENT MANAGEMENT LIMITED Investment Fund Manager>52950
TANCOOK INVESTMENT MANAGEMENT LIMITED Portfolio Manager>52950
TANGERINE INVESTMENT FUNDS LIMITED/FONDS D'INVESTISSEMENT TANGERINE LIMITEE
Mutual Fund Dealer>2570
TANGERINE INVESTMENT MANAGEMENT INC./GESTION D'INVESTISSEMENTS TANGERINE INC.
Investment Fund Manager>26280
TANGERINE INVESTMENT MANAGEMENT INC./GESTION D'INVESTISSEMENTS TANGERINE INC.
Portfolio Manager>26280
TAO SECURITIES INC. Exempt Market Dealer>36220
TAYLOR ASSET MANAGEMENT INC. Exempt Market Dealer>39580
TAYLOR ASSET MANAGEMENT INC. Investment Fund Manager>39580
TAYLOR ASSET MANAGEMENT INC. Portfolio Manager>39580
TD ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS TD INC. Investment Fund Manager>5850
78
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
TD ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS TD INC. Commodity Trading Manager>5850
TD ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS TD INC. Portfolio Manager>5850
TD ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS TD INC. Exempt Market Dealer>5850
TD INVESTMENT SERVICES INC. / SERVICES D'INVESTISSEMENT TD INC.
Mutual Fund Dealer>11610
TD SECURITIES INC. / VALEURS MOBILIERES TD INC. Futures Commission Merchant>5860
TD SECURITIES INC. / VALEURS MOBILIERES TD INC. Investment Dealer>5860
TD WATERHOUSE CANADA INC. Investment Dealer>8950
TD WATERHOUSE PRIVATE INVESTMENT COUNSEL INC. / GESTION PRIVEE TD WATERHOUSE INC.
Portfolio Manager>18660
TD WATERHOUSE PRIVATE INVESTMENT COUNSEL INC. / GESTION PRIVEE TD WATERHOUSE INC.
Exempt Market Dealer>18660
TEAMMAX INVESTMENT CORP. Mutual Fund Dealer>9640
TEMPERED INVESTMENT MANAGEMENT LTD. Exempt Market Dealer>32780
TEMPERED INVESTMENT MANAGEMENT LTD. Portfolio Manager>32780
TEMPERED INVESTMENT MANAGEMENT LTD. Investment Fund Manager>32780
TENSQUARED INVESTMENTS INC. / INVESTISSEMENTS DIXCARRE INC.
Portfolio Manager>53430
TERA CAPITAL CORPORATION Investment Fund Manager>6660
TERA CAPITAL CORPORATION Portfolio Manager>6660
TERA CAPITAL CORPORATION Exempt Market Dealer>6660
TERRA FUND MANAGEMENT LTD. Investment Fund Manager>34160
TETREM CAPITAL MANAGEMENT LTD. / GESTION DE CAPITAUX TETREM
Investment Fund Manager>17850
TETREM CAPITAL MANAGEMENT LTD. / GESTION DE CAPITAUX TETREM
Portfolio Manager>17850
TETREM CAPITAL MANAGEMENT LTD. / GESTION DE CAPITAUX TETREM
Exempt Market Dealer>17850
TFP INVESTMENT COUNSEL CORP. Portfolio Manager>16940
THE CATALYST CAPITAL GROUP INC. Portfolio Manager>25600
THE COMMERCIAL CAPITAL SECURITIES INC. Exempt Market Dealer>8370
THE FUNDING PORTAL INC. Exempt Market Dealer>47390
THE MURRAY WEALTH GROUP INC. Investment Fund Manager>50380
THE MURRAY WEALTH GROUP INC. Portfolio Manager>50380
THE MURRAY WEALTH GROUP INC. Exempt Market Dealer>50380
THE PALLAS ATHENA CORPORATION / CORPORATION PALLAS ATHENA
Portfolio Manager>2720
THIRD EYE CAPITAL MANAGEMENT INC. Investment Fund Manager>31410
THIRD EYE CAPITAL MANAGEMENT INC. Exempt Market Dealer>31410
THIRD EYE CAPITAL MANAGEMENT INC. Portfolio Manager>31410
79
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
THORNMARK ASSET MANAGEMENT INC. / GESTION D'ACTIFS THORNMARK
Investment Fund Manager>7730
THORNMARK ASSET MANAGEMENT INC. / GESTION D'ACTIFS THORNMARK
Portfolio Manager>7730
THORNMARK ASSET MANAGEMENT INC. / GESTION D'ACTIFS THORNMARK
Exempt Market Dealer>7730
TIMBERCREEK ASSET MANAGEMENT LTD. Exempt Market Dealer>28370
TIMBERCREEK ASSET MANAGEMENT LTD. Investment Fund Manager>28370
TIMBERCREEK ASSET MANAGEMENT LTD. Portfolio Manager>28370
TIMELO INVESTMENT MANAGEMENT INC. Exempt Market Dealer>37210
TIMELO INVESTMENT MANAGEMENT INC. Investment Fund Manager>37210
TIMELO INVESTMENT MANAGEMENT INC. Portfolio Manager>37210
TMS/TAX MANAGEMENT SOLUTIONS INC. Exempt Market Dealer>25140
TOBAM S.A.S. Restricted Portfolio Manager>39190
TONUS CAPITAL INC. Investment Fund Manager>25670
TONUS CAPITAL INC. Exempt Market Dealer>25670
TONUS CAPITAL INC. Portfolio Manager>25670
TOPLEFT SECURITIES LTD. Exempt Market Dealer>26700
TORONTO TRUST MANAGEMENT LTD. Investment Fund Manager>33690
TOWER ASSET MANAGEMENT INC. Portfolio Manager>17030
TPCM INC. Exempt Market Dealer>52940
TRADEX MANAGEMENT INC. / GESTION TRADEX INC. Investment Fund Manager>3670
TRADEX MANAGEMENT INC. / GESTION TRADEX INC. Mutual Fund Dealer>3670
TRALUCENT ASSET MANAGEMENT INC. Investment Fund Manager>27890
TRALUCENT ASSET MANAGEMENT INC. Portfolio Manager>27890
TRALUCENT ASSET MANAGEMENT INC. Exempt Market Dealer>27890
TRANSITION FINANCIAL ADVISORS GROUP, INC. Portfolio Manager>30590
TRAPEZE ASSET MANAGEMENT INC. Investment Fund Manager>8150
TRAPEZE ASSET MANAGEMENT INC. Portfolio Manager>8150
TRAPEZE ASSET MANAGEMENT INC. Exempt Market Dealer>8150
TRAPEZE CAPITAL CORP. Investment Dealer>8030
TREZ CAPITAL FUND MANAGEMENT LIMITED PARTNERSHIP/FOND DE GESTION TREZ CAPITAL SOCIETE EN COMMANDITE
Exempt Market Dealer>40680
TREZ CAPITAL FUND MANAGEMENT LIMITED PARTNERSHIP/FOND DE GESTION TREZ CAPITAL SOCIETE EN COMMANDITE
Investment Fund Manager>40680
TRI VIEW CAPITAL LTD. Exempt Market Dealer>40830
TRIACT CANADA MARKETPLACE LP Investment Dealer>21250
TRIDELTA INVESTMENT COUNSEL INC. Investment Fund Manager>37940
TRIDELTA INVESTMENT COUNSEL INC. Commodity Trading Manager>37940
80
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
TRIDELTA INVESTMENT COUNSEL INC. Portfolio Manager>37940
TRIDELTA INVESTMENT COUNSEL INC. Exempt Market Dealer>37940
TRIUMPH ASSET MANAGEMENT INC./ GESTION D'ACTIFS TRIUMPH Investment Fund Manager>18830
TRIUMPH ASSET MANAGEMENT INC./ GESTION D'ACTIFS TRIUMPH Portfolio Manager>18830
TRIUMPH ASSET MANAGEMENT INC./ GESTION D'ACTIFS TRIUMPH Exempt Market Dealer>18830
TROON NORTH CAPITAL INC. Portfolio Manager>28140
TULETT, MATTHEWS & ASSOC. INC. Portfolio Manager>20100
TULLETT PREBON CANADA LIMITED Exempt Market Dealer>20410
TURN8 PARTNERS INC. / TURN8 ASSOCIES INC. Portfolio Manager>40490
TURNPOINTE WEALTH MANAGEMENT INC. Portfolio Manager>34030
TURTLE CREEK ASSET MANAGEMENT INC. Investment Fund Manager>15890
TURTLE CREEK ASSET MANAGEMENT INC. Portfolio Manager>15890
TURTLE CREEK ASSET MANAGEMENT INC. Exempt Market Dealer>15890
TUSCARORA CAPITAL INC. Investment Dealer>6020
TUTUILA ASSET MANAGEMENT INC. Investment Fund Manager>34140
TUTUILA ASSET MANAGEMENT INC. Portfolio Manager>34140
TUTUILA ASSET MANAGEMENT INC. Exempt Market Dealer>34140
81
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
UBS ASSET MANAGEMENT (CANADA) INC. Investment Fund Manager>710
UBS ASSET MANAGEMENT (CANADA) INC. Commodity Trading Manager>710
UBS ASSET MANAGEMENT (CANADA) INC. Portfolio Manager>710
UBS ASSET MANAGEMENT (CANADA) INC. Exempt Market Dealer>710
UBS INVESTMENT MANAGEMENT CANADA INC. / GESTION DES PLACEMENTS UBS CANADA INC.
Portfolio Manager>8450
UBS INVESTMENT MANAGEMENT CANADA INC. / GESTION DES PLACEMENTS UBS CANADA INC.
Exempt Market Dealer>8450
UBS SECURITIES CANADA INC./UBS VALEURS MOBILIERES CANADA INC.
Investment Dealer>330
UMC FINANCIAL MANAGEMENT INC. Exempt Market Dealer>32690
UMC FINANCIAL MANAGEMENT INC. Restricted Portfolio Manager>32690
UNIGESTION ASSET MANAGEMENT (CANADA) INC./GESTION DE PLACEMENTS UNIGESTION (CANADA) INC.
Investment Fund Manager>47780
UNIGESTION ASSET MANAGEMENT (CANADA) INC./GESTION DE PLACEMENTS UNIGESTION (CANADA) INC.
Portfolio Manager>47780
UNIGESTION ASSET MANAGEMENT (CANADA) INC./GESTION DE PLACEMENTS UNIGESTION (CANADA) INC.
Exempt Market Dealer>47780
UNIVERSITY OF TORONTO ASSET MANAGEMENT CORPORATION Portfolio Manager>16840
82
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
VALEURS MOBILIERES BANQUE LAURENTIENNE INC. / LAURENTIAN BANK SECURITIES INC.
Investment Dealer>410
VALUE PARTNERS INVESTMENTS INC. Portfolio Manager>34590
VALUE PARTNERS INVESTMENTS INC. Exempt Market Dealer>34590
VALUE PARTNERS INVESTMENTS INC. Investment Fund Manager>34590
VALUE-CONTRARIAN ASSET MANAGEMENT INC. / VALUE-CONTRARIAN, CONSEILLERS EN PLACEMENTS
Investment Fund Manager>21830
VALUE-CONTRARIAN ASSET MANAGEMENT INC. / VALUE-CONTRARIAN, CONSEILLERS EN PLACEMENTS
Exempt Market Dealer>21830
VALUE-SCIENCES INC. Portfolio Manager>4100
VAN BERKOM AND ASSOCIATES INC. Portfolio Manager>3800
VANCITY INVESTMENT MANAGEMENT LIMITED / GESTION D'INVESTISSEMENTS VANCITY
Portfolio Manager>14950
VANGUARD INVESTMENTS CANADA INC. Exempt Market Dealer>37720
VANGUARD INVESTMENTS CANADA INC. Commodity Trading Manager>37720
VANGUARD INVESTMENTS CANADA INC. Investment Fund Manager>37720
VANGUARD INVESTMENTS CANADA INC. Portfolio Manager>37720
VANTAGE ASSET MANAGEMENT INC. / GESTION D'ACTIFS VANTAGE
Investment Fund Manager>29620
VANTAGE ASSET MANAGEMENT INC. / GESTION D'ACTIFS VANTAGE
Portfolio Manager>29620
VANTAGE ASSET MANAGEMENT INC. / GESTION D'ACTIFS VANTAGE
Exempt Market Dealer>29620
VAULT CIRCLE INC. Exempt Market Dealer>53660
VELOCITY TRADE CAPITAL LTD. Investment Dealer>21850
VENABLE PARK INVESTMENT COUNSEL INC. Portfolio Manager>21780
VENATOR CAPITAL MANAGEMENT LTD. Investment Fund Manager>22250
VENATOR CAPITAL MANAGEMENT LTD. Portfolio Manager>22250
VENATOR CAPITAL MANAGEMENT LTD. Exempt Market Dealer>22250
VERITAS ASSET MANAGEMENT INC. Investment Fund Manager>56200
VERITAS ASSET MANAGEMENT INC. Portfolio Manager>56200
VERITAS ASSET MANAGEMENT INC. Exempt Market Dealer>56200
VERITION ADVISORS (CANADA) ULC Portfolio Manager>32880
VERITY INVESTMENT COUNSEL INC. Portfolio Manager>14680
VERTEX ONE ASSET MANAGEMENT INC. Portfolio Manager>14520
VERTEX ONE ASSET MANAGEMENT INC. Exempt Market Dealer>14520
VERTEX ONE ASSET MANAGEMENT INC. Investment Fund Manager>14520
VERUS ADVISORY, INC. Portfolio Manager>47000
VERUS ADVISORY, INC. Commodity Trading Manager>47000
VESTCAP INVESTMENT MANAGEMENT INC. Portfolio Manager>3770
83
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
VIEWPOINT INVESTMENT PARTNERS CORPORATION Investment Fund Manager>56350
VIEWPOINT INVESTMENT PARTNERS CORPORATION Portfolio Manager>56350
VIEWPOINT INVESTMENT PARTNERS CORPORATION Exempt Market Dealer>56350
VIKING CAPITAL CORP. Investment Fund Manager>10730
VIKING CAPITAL CORP. Portfolio Manager>10730
VIKING CAPITAL CORP. Exempt Market Dealer>10730
VIRTUAL BROKERS WEALTH MANAGEMENT INC. Restricted Portfolio Manager>42110
VISION CAPITAL CORPORATION Investment Fund Manager>13070
VISION CAPITAL CORPORATION Portfolio Manager>13070
VISION CAPITAL CORPORATION Exempt Market Dealer>13070
VISION WEALTH MANAGEMENT LTD Investment Fund Manager>30410
VISION WEALTH MANAGEMENT LTD Portfolio Manager>30410
VIVID CAPITAL MANAGEMENT INC. Exempt Market Dealer>52650
VIVID CAPITAL MANAGEMENT INC. Investment Fund Manager>52650
VIVID CAPITAL MANAGEMENT INC. Portfolio Manager>52650
VL ADVISORS INC. Portfolio Manager>22210
VL ADVISORS INC. Investment Fund Manager>22210
VPP MANAGEMENT INC. Exempt Market Dealer>57180
VPP MANAGEMENT INC. Investment Fund Manager>57180
VPP MANAGEMENT INC. Portfolio Manager>57180
VULCAN ASSET MANAGEMENT CORPORATION Portfolio Manager>47400
VWK CAPITAL MANAGEMENT INC. Exempt Market Dealer>28170
VWK CAPITAL MANAGEMENT INC. Investment Fund Manager>28170
VWK CAPITAL MANAGEMENT INC. Portfolio Manager>28170
84
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
W.A. ROBINSON ASSET MANAGEMENT LTD. Investment Fund Manager>12660
W.A. ROBINSON ASSET MANAGEMENT LTD. Portfolio Manager>12660
W.A. ROBINSON ASSET MANAGEMENT LTD. Exempt Market Dealer>12660
W.D. LATIMER CO. LIMITED Investment Dealer>1950
WALTER SCOTT & PARTNERS LIMITED Exempt Market Dealer>4110
WALTON CAPITAL MANAGEMENT INC. Exempt Market Dealer>21680
WARATAH CAPITAL ADVISORS LTD. Investment Fund Manager>32060
WARATAH CAPITAL ADVISORS LTD. Portfolio Manager>32060
WARATAH CAPITAL ADVISORS LTD. Exempt Market Dealer>32060
WATSON DI PRIMIO STEEL (WDS) INVESTMENT MANAGEMENT LTD.
Portfolio Manager>13000
WATT CARMICHAEL INC. Investment Dealer>3870
WATT CARMICHAEL PRIVATE COUNSEL INC. Portfolio Manager>27470
WAVERLEY CORPORATE FINANCIAL SERVICES LTD. Exempt Market Dealer>40620
WEALHOUSE CAPITAL LIMITED PARTNERSHIP / GESTION DE CAPITAL WEALHOUSE
Investment Fund Manager>27690
WEALHOUSE CAPITAL LIMITED PARTNERSHIP / GESTION DE CAPITAL WEALHOUSE
Portfolio Manager>27690
WEALHOUSE CAPITAL LIMITED PARTNERSHIP / GESTION DE CAPITAL WEALHOUSE
Exempt Market Dealer>27690
WEALTH CREATION CORPORATION Exempt Market Dealer>37840
WEALTH CREATION PRESERVATION & DONATION INC. Exempt Market Dealer>23920
WEALTHBAR FINANCIAL SERVICES INC./SERVICES FINANCIERS WEALTHBAR
Portfolio Manager>46170
WEALTHBRIDGE INVESTMENT COUNSEL INC. Portfolio Manager>35340
WEALTHCO ASSET MANAGEMENT INC. Exempt Market Dealer>34530
WEALTHSIMPLE INC. Portfolio Manager>47940
WEDGE CAPITAL MANAGEMENT L.L.P. Portfolio Manager>9610
WELLINGTON MANAGEMENT CANADA LLC Commodity Trading Manager>48910
WELLINGTON MANAGEMENT CANADA LLC Portfolio Manager>48910
WELLINGTON MANAGEMENT CANADA LLC Exempt Market Dealer>48910
WELLS ASSET MANAGEMENT SYSTEM INC Investment Fund Manager>55010
WELLS ASSET MANAGEMENT SYSTEM INC Portfolio Manager>55010
WELLS ASSET MANAGEMENT SYSTEM INC Exempt Market Dealer>55010
WELLS FARGO SECURITIES CANADA, LTD./VALEURS MOBILIERES WELLS FARGO CANADA, LTEE
Investment Dealer>32450
WEST FACE CAPITAL INC. Portfolio Manager>21620
WEST FACE CAPITAL INC. Exempt Market Dealer>21620
WEST FACE CAPITAL INC. Investment Fund Manager>21620
85
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
WEST HARBOUR CAPITAL Exempt Market Dealer>55190
WESTBORO MANAGEMENT LTD. Exempt Market Dealer>29160
WESTCOURT CAPITAL CORPORATION Portfolio Manager>31310
WESTCOURT CAPITAL CORPORATION Exempt Market Dealer>31310
WESTWOOD INTERNATIONAL ADVISORS INC. Investment Fund Manager>40450
WESTWOOD INTERNATIONAL ADVISORS INC. Portfolio Manager>40450
WESTWOOD INTERNATIONAL ADVISORS INC. Exempt Market Dealer>40450
WFG SECURITIES INC. Mutual Fund Dealer>7020
WHITEHAVEN SECURITIES INC. / VALEURS MOBILIERES WHITEHAVEN INC.
Exempt Market Dealer>46540
WICKHAM INVESTMENT COUNSEL INC. Portfolio Manager>9850
WILDLAW CAPITAL MARKETS INC. Exempt Market Dealer>27070
WILLOUGHBY ASSET MANAGEMENT INC. Investment Fund Manager>50440
WINDCROFT FINANCIAL COUNSEL LIMITED Portfolio Manager>3830
WINDERMERE CAPITAL (CANADA) INC. Portfolio Manager>24490
WINDERMERE CAPITAL (CANADA) INC. Exempt Market Dealer>24490
WINDSTAR EQUITIES LTD. Exempt Market Dealer>3930
WINGATE INVESTMENT MANAGEMENT LTD Investment Fund Manager>10240
WINGATE INVESTMENT MANAGEMENT LTD Portfolio Manager>10240
WINGATE INVESTMENT MANAGEMENT LTD Exempt Market Dealer>10240
WISDOMTREE ASSET MANAGEMENT CANADA, INC. Investment Fund Manager>54980
WISDOMTREE ASSET MANAGEMENT CANADA, INC. Exempt Market Dealer>54980
WISE CAPITAL MANAGEMENT INC. Investment Fund Manager>10610
WISE CAPITAL MANAGEMENT INC. Portfolio Manager>10610
WOODBOURNE CAPITAL MANAGEMENT INTERNATIONAL LP Portfolio Manager>29340
WORLDSOURCE FINANCIAL MANAGEMENT INC./GESTION FINANCIERE WORLDSOURCE INC.
Exempt Market Dealer>830
WORLDSOURCE FINANCIAL MANAGEMENT INC./GESTION FINANCIERE WORLDSOURCE INC.
Mutual Fund Dealer>830
WORLDSOURCE SECURITIES INC./ VALEURS MOBILIERES WORLDSOURCE INC.
Investment Fund Manager>11720
WORLDSOURCE SECURITIES INC./ VALEURS MOBILIERES WORLDSOURCE INC.
Investment Dealer>11720
WUTHERICH & COMPANY INVESTMENT COUNSEL INC./ CONSEILLERS EN VALEURS WUTHERICH & COMPAGNIE INC.
Portfolio Manager>14370
86
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
XIB ASSET MANAGEMENT INC. Exempt Market Dealer>56050
XIB ASSET MANAGEMENT INC. Investment Fund Manager>56050
XIB ASSET MANAGEMENT INC. Portfolio Manager>56050
87
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
Y.I.S. FINANCIAL INC. Mutual Fund Dealer>4190
YORKVILLE ASSET MANAGEMENT INC. Investment Fund Manager>33110
YORKVILLE ASSET MANAGEMENT INC. Portfolio Manager>33110
YORKVILLE ASSET MANAGEMENT INC. Exempt Market Dealer>33110
YOUFIRST FINANCIAL INC. Portfolio Manager>26590
YTM CAPITAL ASSET MANAGEMENT LTD. Exempt Market Dealer>35870
YTM CAPITAL ASSET MANAGEMENT LTD. Investment Fund Manager>35870
YTM CAPITAL ASSET MANAGEMENT LTD. Portfolio Manager>35870
88
List of Ontario Registrants as of April 16, 2017
Registration CategoryNRD NumberRegistrant Name
ZED FINANCIAL PARTNERS Exempt Market Dealer>12560
ZLC WEALTH INC. Exempt Market Dealer>14620
ZLC WEALTH INC. Portfolio Manager>14620
89