List of Ontario Registrants as of November 1, 2020
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
3IQ CORP. Commodity Trading Manager>41350
3IQ CORP. Exempt Market Dealer>41350
3IQ CORP. Portfolio Manager>41350
3L CAPITAL INC. Exempt Market Dealer>69050
4FRONT CAPITAL PARTNERS INC. Exempt Market Dealer>38040
1
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
ABERDEEN STANDARD INVESTMENTS (CANADA) LIMITED Portfolio Manager>37730
ABERDEEN STANDARD INVESTMENTS (CANADA) LIMITED Investment Fund Manager>37730
ABERDEEN STANDARD INVESTMENTS (CANADA) LIMITED Exempt Market Dealer>37730
ABINGDON CAPITAL CORPORATION Exempt Market Dealer>53830
ACADIAN ASSET MANAGEMENT LLC Exempt Market Dealer>6620
ACADIAN ASSET MANAGEMENT LLC Portfolio Manager>6620
ACC GLOBAL FINANCIAL INC. Mutual Fund Dealer>50490
ACCELERATE FINANCIAL TECHNOLOGIES INC. Investment Fund Manager>63470
ACCELERATE FINANCIAL TECHNOLOGIES INC. Portfolio Manager>63470
ACCELERATE FINANCIAL TECHNOLOGIES INC. Exempt Market Dealer>63470
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
ACTION VALEUR AJOUTEE INC. Portfolio Manager>19120
ACUMEN CAPITAL FINANCE PARTNERS LIMITED Investment Dealer>6070
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
AGAWA FUND MANAGEMENT INC. Commodity Trading Manager>53320
AGAWA FUND MANAGEMENT INC. Investment Fund Manager>53320
AGAWA FUND MANAGEMENT INC. Portfolio Manager>53320
AGAWA FUND MANAGEMENT INC. Exempt Market Dealer>53320
AGENTIS CAPITAL MARKETS CANADA LIMITED PARTNERSHIP Exempt Market Dealer>64340
AGF INVESTMENTS INC. / PLACEMENTS AGF INC. Investment Fund Manager>3640
2
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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. Exempt Market Dealer>26360
AGILITH CAPITAL INC. Investment Fund Manager>26360
AGILITH CAPITAL INC. Portfolio Manager>26360
AGORA DEALER SERVICES CORP. Mutual Fund Dealer>62470
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
ALCEDIO SECURITIES INC. Exempt Market Dealer>65630
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. Exempt Market Dealer>42570
ALITIS INVESTMENT COUNSEL INC. Investment Fund Manager>30300
ALITIS INVESTMENT COUNSEL INC. Portfolio Manager>30300
ALITIS INVESTMENT COUNSEL INC. Exempt Market Dealer>30300
ALLARD, ALLARD & ASSOCIES INC. Investment Fund Manager>20120
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
ALLIED WEALTH MANAGEMENT INC. Portfolio Manager>58860
ALLVISTA INVESTMENT MANAGEMENT INC. Portfolio Manager>27610
ALPHAFIXE CAPITAL INC. Exempt Market Dealer>28220
ALPHAFIXE CAPITAL INC. Investment Fund Manager>28220
ALPHAFIXE CAPITAL INC. Portfolio Manager>28220
3
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
ALPHANORTH ASSET MANAGEMENT Investment Fund Manager>26330
ALPHANORTH ASSET MANAGEMENT Portfolio Manager>26330
ALPHANORTH ASSET MANAGEMENT Exempt Market Dealer>26330
ALPHAPLANUM INC. Portfolio Manager>48980
ALTA WEST MORTGAGE CAPITAL CORPORATION Exempt Market Dealer>33610
ALTEMA ASSET MANAGEMENT INC. Investment Fund Manager>61430
ALTEMA ASSET MANAGEMENT INC. Portfolio Manager>61430
ALTEMA ASSET MANAGEMENT INC. Exempt Market Dealer>61430
ALTERVEST LTD Exempt Market Dealer>32170
ALTERVEST LTD Commodity Trading Manager>32170
ALTERVEST LTD Investment Fund Manager>32170
ALTERVEST LTD Portfolio Manager>32170
ALTIMUM MUTUALS INC. Mutual Fund Dealer>15640
ALTIUM WEALTH ARCHITECTURE INC. / ALTIUM ARCHITECTURE DE PATRIMOINE INC.
Portfolio Manager>44490
ALTRINSIC GLOBAL ADVISORS CANADA INC. Portfolio Manager>62250
ALTRINSIC GLOBAL ADVISORS, LLC Exempt Market Dealer>23170
ALTRINSIC GLOBAL ADVISORS, LLC Investment Fund Manager>23170
ALTRINSIC GLOBAL ADVISORS, LLC Portfolio Manager>23170
ALTRUST INVESTMENT SOLUTIONS INC. Investment Fund Manager>9120
ALTRUST INVESTMENT SOLUTIONS INC. Portfolio Manager>9120
ALTRUST INVESTMENT SOLUTIONS INC. Exempt Market Dealer>9120
ALVAREZ & MARSAL CANADA SECURITIES ULC Exempt Market Dealer>39430
AMERITY WEALTH MANAGEMENT INC. Mutual Fund Dealer>60680
AMUKA CAPITAL CORP. Exempt Market Dealer>62220
AMUNDI CANADA INC. Investment Fund Manager>27710
AMUNDI CANADA INC. Portfolio Manager>27710
AMUNDI CANADA INC. Exempt Market Dealer>27710
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. Exempt Market Dealer>18330
ANTARES INVESTMENT MANAGEMENT, INC. Investment Fund Manager>18330
ANTARES INVESTMENT MANAGEMENT, INC. Portfolio Manager>18330
4
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
ANTERA CAPITAL CORP. Exempt Market Dealer>62480
ANTRIM INVESTMENTS LTD. Exempt Market Dealer>57060
ANTYA INVESTMENTS INC. Portfolio Manager>49320
AON INVESTMENTS CANADA INC. Investment Fund Manager>51900
AON INVESTMENTS CANADA INC. Portfolio Manager>51900
AON INVESTMENTS CANADA 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
APS ASSET MANAGEMENT PTE LTD Portfolio Manager>40180
AQR CAPITAL MANAGEMENT (CANADA), LLC Exempt Market Dealer>56170
ARC FINANCIAL CORP. Exempt Market Dealer>2960
ARDENTON FINANCIAL INC. Exempt Market Dealer>60730
ARGOSY SECURITIES INC. Investment Dealer>5450
AROHI ASSET MANAGEMENT PTE. LTD. Portfolio Manager>36790
ARROW CAPITAL MANAGEMENT INC. Portfolio Manager>9540
ARROW CAPITAL MANAGEMENT INC. Exempt Market Dealer>9540
ARROW CAPITAL MANAGEMENT INC. Investment Fund Manager>9540
ARROW CAPITAL MANAGEMENT INC. Commodity Trading Manager>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 Investment Fund Manager>18440
ARTEMIS INVESTMENT MANAGEMENT LIMITED Commodity Trading Manager>18440
ARTEMIS INVESTMENT MANAGEMENT LIMITED Portfolio Manager>18440
ARTEMIS INVESTMENT MANAGEMENT LIMITED Exempt Market Dealer>18440
ARYEH CAPITAL MANAGEMENT LTD. Commodity Trading Manager>58960
ARYEH CAPITAL MANAGEMENT LTD. Investment Fund Manager>58960
ARYEH CAPITAL MANAGEMENT LTD. Portfolio Manager>58960
ARYEH CAPITAL MANAGEMENT LTD. Exempt Market Dealer>58960
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
Exempt Market Dealer>25750
ASSANTE FINANCIAL MANAGEMENT LTD./GESTION FINANCIERE ASSANTE LTEE
Mutual Fund Dealer>25750
ATB CAPITAL MARKETS INC. Investment Dealer>33040
5
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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. Exempt Market Dealer>25850
AUSPICE CAPITAL ADVISORS LTD. Investment Fund Manager>25850
AUSPICE CAPITAL ADVISORS LTD. Commodity Trading Manager>25850
AUTHENTIC ASSET MANAGEMENT INC./GESTION D'ACTIFS AUTHENTIC INC.
Commodity Trading Manager>50110
AUTHENTIC ASSET MANAGEMENT INC./GESTION D'ACTIFS AUTHENTIC INC.
Portfolio Manager>50110
AVENTINE MANAGEMENT GROUP INC. Investment Fund Manager>14850
AVENTINE MANAGEMENT GROUP INC. Portfolio Manager>14850
AVENUE INVESTMENT MANAGEMENT INC. Investment Fund Manager>15660
AVENUE INVESTMENT MANAGEMENT INC. Portfolio Manager>15660
AVIVA INVESTORS CANADA INC. Portfolio Manager>8420
AVIVA INVESTORS CANADA INC. Exempt Market Dealer>8420
AVIVA INVESTORS CANADA INC. Commodity Trading Manager>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 November 1, 2020
Registration CategoryNRD NumberRegistrant Name
B.E.S.T. INVESTMENT COUNSEL LIMITED Exempt Market Dealer>8500
B.E.S.T. INVESTMENT COUNSEL LIMITED Investment Fund Manager>8500
B.E.S.T. INVESTMENT COUNSEL LIMITED Portfolio 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
BACKER WEALTH MANAGEMENT INC. Portfolio Manager>61690
BAILLIE GIFFORD & CO LIMITED Portfolio Manager>48560
BAILLIE GIFFORD INTERNATIONAL LLC Exempt Market Dealer>22980
BAILLIE GIFFORD OVERSEAS LIMITED Exempt Market Dealer>460
BAILLIE GIFFORD OVERSEAS LIMITED Portfolio Manager>460
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.
Investment Fund Manager>28750
BANQUE NATIONALE INVESTISSEMENTS INC./NATIONAL BANK INVESTMENTS INC.
Mutual Fund Dealer>28750
BARCLAYS CAPITAL CANADA INC. Investment Dealer>23970
BARITONE ASSET MANAGEMENT INC. Investment Fund Manager>67810
BARITONE ASSET MANAGEMENT INC. Portfolio Manager>67810
BARITONE ASSET MANAGEMENT INC. Exempt Market Dealer>67810
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. Investment Fund Manager>5360
BARRANTAGH INVESTMENT MANAGEMENT INC. Exempt Market Dealer>5360
BARRANTAGH INVESTMENT MANAGEMENT INC. Portfolio Manager>5360
BASKIN FINANCIAL SERVICES INC. Investment Fund Manager>7050
7
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
BDT & COMPANY, LLC Exempt Market Dealer>35800
BEACON SECURITIES LIMITED/VALEURS MOBILIERES BEACON LTEE
Investment Dealer>15540
BECKSLEY CAPITAL INC. / CAPITAL BECKSLEY INC. Exempt Market Dealer>540
BEDFORD PARK CAPITAL CORPORATION Investment Fund Manager>60920
BEDFORD PARK CAPITAL CORPORATION Portfolio Manager>60920
BEDFORD PARK CAPITAL CORPORATION Exempt Market Dealer>60920
BELAY WEALTH INC. Mutual Fund Dealer>60080
BELCO PRIVATE CAPITAL INC. Investment Fund Manager>35250
BELCO PRIVATE CAPITAL INC. Portfolio Manager>35250
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 Restricted Portfolio Manager>25280
BER TOV CAPITAL CORPORATION Exempt Market Dealer>25280
BERINGER CAPITAL PARTNERS LTD. Exempt Market Dealer>21360
BEUTEL, GOODMAN & COMPANY LTD./BEUTEL, GOODMAN & COMPAGNIE LTEE.
Commodity Trading Manager>260
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
BFIN SECURITIES LP Investment Dealer>52080
BGO CAPITAL (CANADA) INC. Investment Fund Manager>43070
BGO CAPITAL (CANADA) INC. Portfolio Manager>43070
BGO CAPITAL (CANADA) INC. Exempt Market Dealer>43070
BIRCHLEAF INVESTMENTS INC. Investment Fund Manager>9390
BIRCHLEAF INVESTMENTS INC. Portfolio Manager>9390
BITTERROOT CAPITAL ADVISORS, LLC Portfolio Manager>36550
BLACK CREEK INVESTMENT MANAGEMENT INC. Investment Fund Manager>18900
BLACK CREEK INVESTMENT MANAGEMENT INC. Portfolio Manager>18900
8
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
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 INVESTMENT GROUP INC. Investment Fund Manager>61610
BLOOM BURTON INVESTMENT GROUP INC. Portfolio Manager>61610
BLOOM BURTON INVESTMENT GROUP INC. Exempt Market Dealer>61610
BLOOM BURTON SECURITIES INC. Investment Dealer>49560
BLOOM INVESTMENT COUNSEL, INC. Exempt Market Dealer>280
BLOOM INVESTMENT COUNSEL, INC. Investment Fund Manager>280
BLOOM INVESTMENT COUNSEL, INC. Portfolio Manager>280
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 DEER CAPITAL PARTNERS INC. Exempt Market Dealer>68040
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
BLUEWATER TECHNOLOGIES INC. Commodity Trading Manager>67730
BMG MANAGEMENT SERVICES INC. Investment Fund Manager>34690
BMG MARKETING SERVICES INC. Exempt Market Dealer>21450
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
9
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
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. Commodity Trading Manager>46550
BOLTON CAPITAL CANADA INC. Investment Fund Manager>46550
BOLTON CAPITAL CANADA INC. Portfolio Manager>46550
BONNEFIELD FINANCIAL INC. Exempt Market Dealer>59950
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
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT (CANADA), ULC
Investment Fund Manager>6360
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT (CANADA), ULC
Commodity Trading Manager>6360
10
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT (CANADA), ULC
Portfolio Manager>6360
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT (CANADA), ULC
Exempt Market Dealer>6360
BRANT SECURITIES LIMITED Investment Dealer>300
BRIDGEPORT ASSET MANAGEMENT INC. Portfolio Manager>25060
BRIDGEPORT ASSET MANAGEMENT INC. Exempt Market Dealer>25060
BRIDGEPORT ASSET MANAGEMENT INC. Investment Fund Manager>25060
BRIDGEWATER ASSOCIATES, LP Commodity Trading Manager>21400
BRIDGEWATER ASSOCIATES, LP Portfolio Manager>21400
BRIDGING FINANCE INC. Investment Fund Manager>44620
BRIDGING FINANCE INC. Exempt Market Dealer>44620
BRIDGING FINANCE INC. Restricted Portfolio Manager>44620
BRIGHTSPARK FINANCIAL INC. Exempt Market Dealer>65240
BRILLIANT PHOENIX CAPITAL MANAGEMENT INC. Exempt Market Dealer>58800
BRINTAB CORP. Portfolio Manager>67040
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
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 Commodity Trading Manager>37530
BROMPTON FUNDS LIMITED Investment Fund Manager>37530
BROMPTON FUNDS LIMITED Portfolio Manager>37530
BROMPTON FUNDS LIMITED Exempt Market Dealer>37530
BROOK CAPITAL CORPORATION Exempt Market Dealer>4790
BROOKFIELD INVESTMENT MANAGEMENT (CANADA) INC. Portfolio Manager>22390
BROOKFIELD INVESTMENT MANAGEMENT (CANADA) INC. Exempt Market Dealer>22390
BROOKFIELD PUBLIC SECURITIES GROUP LLC Investment Fund Manager>21490
BROOKFIELD PUBLIC SECURITIES GROUP LLC Commodity Trading Manager>21490
BROOKFIELD PUBLIC SECURITIES GROUP LLC 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
11
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
BURGESS INVESTMENT MANAGEMENT AND RESEARCH INC. Portfolio Manager>61400
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
BUSH ASSOCIES LTEE / BUSH ASSOCIATES LTD Portfolio Manager>19180
12
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
C.S.T. ASSET MANAGEMENT INC. Portfolio Manager>67860
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
C.S.T. SPARK INC. Investment Fund Manager>59940
C.S.T. SPARK INC. Scholarship Plan Dealer>59940
CADO INVESTMENT FUND MANAGEMENT INC. Investment Fund Manager>34050
CADOGAN PARK ADVISORS INC. Portfolio Manager>60840
CALDOUN CAPITAL INC. Investment Fund Manager>46340
CALDOUN CAPITAL INC. Portfolio Manager>46340
CALDOUN CAPITAL INC. Exempt Market Dealer>46340
CALDWELL INVESTMENT MANAGEMENT LTD. Investment Fund Manager>6930
CALDWELL INVESTMENT MANAGEMENT LTD. Portfolio Manager>6930
CALDWELL SECURITIES LTD. Investment Dealer>750
CALROSSIE INVESTMENT MANAGEMENT INC. Investment Fund Manager>25680
CALROSSIE INVESTMENT MANAGEMENT INC. Portfolio Manager>25680
CALROSSIE INVESTMENT MANAGEMENT INC. Exempt Market Dealer>25680
CALVERT HOME MORTGAGE INVESTMENT CORPORATION Exempt Market Dealer>33520
CAMBER CAPITAL CORP Exempt Market Dealer>37650
CAMBER CAPITAL CORP Investment Fund Manager>37650
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
Futures Commission Merchant>900
CANACCORD GENUITY CORP./CORPORATION CANACCORD GENUITY
Investment Dealer>900
CANADA OVERSEAS ASSET MANAGEMENT LIMITED Portfolio Manager>60670
CANADIAN SHAREOWNER INVESTMENTS INC. / INVESTISSEMENTS ACTIONNAIRES CANADIENS INC.
Investment Fund Manager>9180
CANADIAN SHAREOWNER INVESTMENTS INC. / INVESTISSEMENTS ACTIONNAIRES CANADIENS INC.
Investment Dealer>9180
CANADIAN WESTERN FINANCIAL LTD. Mutual Fund Dealer>13960
CANCITY CAPITAL INC. Portfolio Manager>42080
CANCITY CAPITAL INC. Exempt Market Dealer>42080
CANCITY CAPITAL INC. Investment Fund Manager>42080
13
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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 Investment Fund Manager>32950
CANOE FINANCIAL LP Portfolio Manager>32950
CANOE FINANCIAL LP Exempt Market Dealer>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
CAPITAL DIRECT FINANCIAL LTD. Exempt Market Dealer>64510
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
CASSIDY ASSET MANAGEMENT INC. Portfolio Manager>62280
CASSIDY ASSET MANAGEMENT INC. Exempt Market Dealer>62280
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
CASTLEFIELD ASSOCIATES INC. Commodity Trading Manager>68650
CASTLEMOORE INC. Portfolio Manager>20640
CAXTON (CANADA) LTD. Commodity Trading Manager>59910
CAXTON (CANADA) LTD. Portfolio Manager>59910
14
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
CBRE CALEDON CAPITAL MANAGEMENT INC. Exempt Market Dealer>29280
CBRE CALEDON CAPITAL MANAGEMENT INC. Portfolio Manager>29280
CCC SECURITIES INC. Exempt Market Dealer>8370
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
CEPHEI CAPITAL MANAGEMENT (HONG KONG) LIMITED Restricted Portfolio Manager>45090
CERTUS WEALTH MANAGEMENT INC. Portfolio Manager>7940
CFI LEASING LIMITED Exempt Market Dealer>4780
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
CHIPPINGHAM FINANCIAL GROUP LIMITED/GROUPE FINANCIER CHIPPINGHAM LIMITEE
Futures Commission Merchant>11370
CHOU ASSOCIATES MANAGEMENT INC. Investment Fund Manager>600
CHOU ASSOCIATES MANAGEMENT INC. Portfolio Manager>600
CHOU ASSOCIATES MANAGEMENT INC. Exempt Market Dealer>600
CHRISTOPHER ROSS CUNNINGHAM INVESTMENTS LTD. Exempt Market Dealer>58830
CHRISTOPHER ROSS CUNNINGHAM INVESTMENTS LTD. Investment Fund Manager>58830
CHRISTOPHER ROSS CUNNINGHAM INVESTMENTS LTD. Portfolio Manager>58830
CHRONICLE INVESTMENTS LTD. Exempt Market Dealer>59810
CHRONICLE INVESTMENTS LTD. Portfolio Manager>59810
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
15
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
CITADEL SECURITIES CANADA ULC Futures Commission Merchant>49280
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
Mutual Fund Dealer>4920
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
CITIGROUP GLOBAL MARKETS CANADA INC. / MARCHES MONDIAUX CITIGROUP CANADA INC.
Investment Dealer>3360
CLARESTE WEALTH MANAGEMENT INC. Investment Fund Manager>16890
CLARESTE WEALTH MANAGEMENT INC. Portfolio Manager>16890
CLARESTE WEALTH MANAGEMENT INC. Exempt Market Dealer>16890
CLARITI CAPITAL MARKETS INC. Exempt Market Dealer>66350
CLARUS SECURITIES INC / VALEURS MOBILIERES CLARUS INC. Investment Dealer>13160
CLEARBRIDGE RARE INFRASTRUCTURE (NORTH AMERICA) PTY LIMITED
Portfolio Manager>35670
CLEARWATER CAPITAL MANAGEMENT INC. Portfolio Manager>8880
CLIFTON BLAKE SECURITIES LTD. Exempt Market Dealer>66010
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
COERENTE CAPITAL MANAGEMENT INC./GESTION CAPITAL COERENTE INC.
Portfolio Manager>41970
COIN CAPITAL INVESTMENT MANAGEMENT INC. Investment Fund Manager>61560
16
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
COIN CAPITAL INVESTMENT MANAGEMENT INC. Portfolio Manager>61560
COIN CAPITAL INVESTMENT MANAGEMENT INC. Exempt Market Dealer>61560
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
COLUMBUS POINT LLP Portfolio Manager>67610
COMMONFUND ASSET MANAGEMENT COMPANY, INC. Portfolio Manager>9460
COMMUNITY FORWARD FUND ASSISTANCE CORP. / FONDS DE PROGRES COMMUNAUTAIRE SOCIETE DE GESTION
Restricted Portfolio Manager>38670
COMMUNITY FORWARD FUND ASSISTANCE CORP. / FONDS DE PROGRES COMMUNAUTAIRE SOCIETE DE GESTION
Exempt Market Dealer>38670
COMMUNITY FORWARD FUND ASSISTANCE CORP. / FONDS DE PROGRES COMMUNAUTAIRE SOCIETE DE GESTION
Investment Fund Manager>38670
COMPASS PRIVATE WEALTH INC. Portfolio Manager>67020
CONDOR ASSET MANAGEMENT INC. Portfolio Manager>29990
CONDOR ASSET MANAGEMENT INC. Exempt Market Dealer>29990
CONNING INVESTMENT PRODUCTS, INC. Portfolio Manager>48850
CONNOR, CLARK & LUNN (CANADA) LTD. Investment Fund Manager>21660
CONNOR, CLARK & LUNN (CANADA) LTD. Portfolio Manager>21660
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. Exempt Market Dealer>14660
CONNOR, CLARK & LUNN PRIVATE CAPITAL LTD. Investment Fund Manager>14660
CONNOR, CLARK & LUNN PRIVATE CAPITAL LTD. Portfolio Manager>14660
CONSEILLERS EN GESTION GLOBALE STATE STREET LTEE. / STATE STREET GLOBAL ADVISORS, LTD.
Commodity Trading Counsel>4700
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
17
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
CONSEILLERS EN GESTION GLOBALE STATE STREET LTEE. / STATE STREET GLOBAL ADVISORS, LTD.
Investment Fund Manager>4700
CONSEILLERS EN VALEURS VISAVIS INC. / VISAVIS INVESTMENT COUNSEL INC.
Portfolio Manager>19410
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
CONTINUUM PRIVATE WEALTH PARTNERS INC. Investment Fund Manager>58870
CONTINUUM PRIVATE WEALTH PARTNERS INC. Portfolio Manager>58870
CONVERGENCE BLENDED FINANCE, INC. Restricted Dealer>55230
CO-OPERATORS FINANCIAL INVESTMENT SERVICES INC./SERVICES D'INVESTISSEMENT FINANCIER CO-OPERATORS INC.
Mutual Fund Dealer>66270
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 Commodity Trading Manager>3220
CORPORATION FIERA CAPITAL / FIERA CAPITAL CORPORATION Investment Fund Manager>3220
CORPORATION FIERA CAPITAL / FIERA CAPITAL CORPORATION Portfolio Manager>3220
CORPORATION FIERA CAPITAL / FIERA CAPITAL CORPORATION Exempt Market Dealer>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
CORTON CAPITAL INC. Investment Fund Manager>63680
CORTON CAPITAL INC. Portfolio Manager>63680
18
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
CORTON CAPITAL INC. Exempt Market Dealer>63680
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
COVENANT SECURITIES CORP. Restricted Dealer>59790
COVINGTON CAPITAL CORPORATION Investment Fund Manager>5120
COVINGTON CAPITAL CORPORATION Portfolio Manager>5120
COVINGTON CAPITAL CORPORATION Exempt Market Dealer>5120
COVISTA CAPITAL CORP. Investment Fund Manager>50300
COVISTA CAPITAL CORP. Portfolio Manager>50300
COVISTA CAPITAL CORP. Exempt Market Dealer>50300
COWAN ASSET MANAGEMENT LIMITED Investment Fund Manager>45110
COWAN ASSET MANAGEMENT LIMITED Portfolio Manager>45110
COWAN ASSET MANAGEMENT LIMITED Exempt Market Dealer>45110
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
CREATION WEALTH CAPITAL INC. Investment Dealer>42740
CREDENTIAL ASSET MANAGEMENT INC. Mutual Fund Dealer>1260
CREDENTIAL QTRADE SECURITIES INC./VALEURS MOBILIERES CREDENTIAL QTRADE INC.
Investment Dealer>6190
CREDIT SUISSE SECURITIES (CANADA), INC./VALEURS MOBILIERES CREDIT SUISSE (CANADA), INC.
Investment Dealer>1350
CRIMSON ASSET MANAGEMENT LTD. Exempt Market Dealer>60240
CRIMSON ASSET MANAGEMENT LTD. Investment Fund Manager>60240
CRIMSON ASSET MANAGEMENT LTD. Portfolio Manager>60240
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. Portfolio Manager>21730
CROWN CAPITAL PARTNERS INC. Investment Fund Manager>21730
19
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
CROWN CAPITAL PARTNERS INC. Exempt Market Dealer>21730
CRUSADER ASSET MANAGEMENT INC. Commodity Trading Manager>40790
CRUSADER ASSET MANAGEMENT INC. Portfolio Manager>40790
CTI CAPITAL VALEURS MOBILIERES INC. / CTI CAPITAL SECURITIES INC.
Investment Dealer>25640
CUMBERLAND 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 MCLEAN & PARTNERS WEALTH MANAGEMENT LTD. Investment Fund Manager>8680
CWB MCLEAN & PARTNERS WEALTH MANAGEMENT LTD. Investment Dealer>8680
CWB PRIVATE INVESTMENT COUNSEL LTD./CWB CONSEILS EN PLACEMENT PRIVES LTEE
Investment Fund Manager>4720
CWB PRIVATE INVESTMENT COUNSEL LTD./CWB CONSEILS EN PLACEMENT PRIVES LTEE
Portfolio Manager>4720
CWB PRIVATE INVESTMENT COUNSEL LTD./CWB CONSEILS EN PLACEMENT PRIVES LTEE
Exempt Market Dealer>4720
CWB WEALTH MANAGEMENT LTD. Investment Fund Manager>53940
CWB WEALTH MANAGEMENT LTD. Portfolio Manager>53940
CWB WEALTH MANAGEMENT LTD. Exempt Market Dealer>53940
CYPRESS CAPITAL MANAGEMENT LTD. Investment Fund Manager>8990
CYPRESS CAPITAL MANAGEMENT LTD. Portfolio Manager>8990
20
List of Ontario Registrants as of November 1, 2020
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 LUCA VEALE INVESTMENT COUNSEL INC. Portfolio Manager>22090
DE LUCA VEALE INVESTMENT COUNSEL INC. Exempt Market Dealer>22090
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
21
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
DESJARDINS GESTION INTERNATIONALE D'ACTIFS INC./DESJARDINS GLOBAL ASSET MANAGEMENT INC.
Portfolio Manager>17990
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
DEVON CAPITAL INC. Exempt Market Dealer>58760
DGW CAPITAL CORP. Exempt Market Dealer>57690
DICEMARK CAPITAL MARKETS INC. Exempt Market Dealer>46700
DIGIMAX CAPITAL CORP. Exempt Market Dealer>63580
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
DIVERSIFI ALTERNATIVE INVESTMENTS LTD. Exempt Market Dealer>41180
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
DMAT CAPITAL MANAGEMENT INC. Investment Fund Manager>68540
DMAT CAPITAL MANAGEMENT INC. Portfolio Manager>68540
DMAT CAPITAL MANAGEMENT INC. Exempt Market Dealer>68540
DMAT CAPITAL MANAGEMENT INC. Commodity Trading Manager>68540
DOHENY SECURITIES LIMITED Mutual Fund Dealer>13950
DOHERTY & ASSOCIATES LTD. Portfolio Manager>1010
DOHERTY & ASSOCIATES LTD. Exempt Market Dealer>1010
DONRO FINANCIAL LTD. Mutual Fund Dealer>7130
DONVILLE KENT ASSET MANAGEMENT INC. Portfolio Manager>26430
DONVILLE KENT ASSET MANAGEMENT INC. Exempt Market Dealer>26430
DONVILLE KENT ASSET MANAGEMENT INC. Investment Fund Manager>26430
DORCHESTER WEALTH MANAGEMENT COMPANY Portfolio Manager>51260
DOWNING STREET FINANCIAL INC. Exempt Market Dealer>63300
DOYENNE FINANCIAL LTD. Portfolio Manager>66560
22
List of Ontario Registrants as of November 1, 2020
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 Exempt Market Dealer>35950
DRADIS CAPITAL MANAGEMENT LIMITED Investment Fund Manager>35950
DRADIS CAPITAL MANAGEMENT LIMITED Portfolio Manager>35950
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
DURHAM ASSET MANAGEMENT INC. Investment Fund Manager>63200
DURHAM ASSET MANAGEMENT INC. Portfolio Manager>63200
DURHAM ASSET MANAGEMENT INC. Exempt Market Dealer>63200
DUROSE ASSET MANAGEMENT INC. Investment Fund Manager>31270
DUROSE ASSET MANAGEMENT INC. Portfolio Manager>31270
DUROSE ASSET MANAGEMENT INC. Exempt Market Dealer>31270
DWS INVESTMENT MANAGEMENT AMERICAS, INC. Portfolio Manager>26750
DX FINANCIAL SECURITIES LTD. Exempt Market Dealer>61500
DYNAMIC TREE ASSET MANAGEMENT AG Portfolio Manager>36290
DYNAMIC TREE ASSET MANAGEMENT AG Exempt Market Dealer>36290
23
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
EAST COAST ASSET MANAGEMENT SEZC Portfolio Manager>67940
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 Investment Fund Manager>29550
EAST WEST INVESTMENT MANAGEMENT CORPORATION Commodity Trading Manager>29550
EAST WEST INVESTMENT MANAGEMENT CORPORATION Portfolio Manager>29550
EAST WEST INVESTMENT MANAGEMENT CORPORATION Exempt Market Dealer>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
Portfolio Manager>27490
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 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
EHP FUNDS INC. Investment Fund Manager>62460
EHP FUNDS INC. Portfolio Manager>62460
EIGHT CAPITAL Investment Dealer>55180
EKATON WEALTH MANAGEMENT INC. Exempt Market Dealer>42870
ELM PARK CAPITAL MANAGEMENT, LLC Investment Fund Manager>35180
ELM PARK CAPITAL MANAGEMENT, LLC Portfolio Manager>35180
ELM PARK CAPITAL MANAGEMENT, LLC Exempt Market Dealer>35180
EMD FINANCIAL INC. / LA FINANCIERE EMD INC. Exempt Market Dealer>36480
EMERGE CANADA INC. Investment Fund Manager>64220
EMERGE CANADA INC. Portfolio Manager>64220
EMERGE CANADA INC. Exempt Market Dealer>64220
24
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
EMERGING EQUITIES INC. Investment Dealer>8640
EMJ CAPITAL LTD. Restricted Portfolio Manager>60100
EMPIRE LIFE INVESTMENTS INC. Exempt Market Dealer>38910
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. Portfolio Manager>31940
ENCASA FINANCIAL INC. Investment Fund Manager>31940
ENLIGHTENED PRIVATE CAPITAL INC. Exempt Market Dealer>28680
ENOCH WEALTH INC. Exempt Market Dealer>51660
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
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
EQUITON CAPITAL INC. Investment Fund Manager>53400
EQUITON CAPITAL INC. Portfolio Manager>53400
EQUITON CAPITAL INC. Exempt Market Dealer>53400
EQUITY ASSOCIATES INC. Exempt Market Dealer>6940
EQUITY ASSOCIATES INC. Mutual Fund Dealer>6940
EQUIVESTO CANADA INC. Exempt Market Dealer>63820
25
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
ERNST & YOUNG ORENDA CORPORATE FINANCE INC./CONSEIL EN FINANCEMENT ERNST & YOUNG ORENDA INC.
Exempt Market Dealer>5670
ESPRESSO CAPITAL LTD. Exempt Market Dealer>54780
EURO PACIFIC ASSET MANAGEMENT, LLC Portfolio Manager>63190
EURO PACIFIC ASSET MANAGEMENT, LLC Exempt Market Dealer>63190
EVENTUS CAPITAL CORP Exempt Market Dealer>52520
EVOLVE FUNDS GROUP INC. Commodity Trading Manager>58260
EVOLVE FUNDS GROUP INC. Investment Fund Manager>58260
EVOLVE FUNDS GROUP INC. Portfolio Manager>58260
EVOVEST INC. Portfolio Manager>60210
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
EXCEL PRIVATE WEALTH INC. Mutual Fund Dealer>19470
EXPONENT INVESTMENT MANAGEMENT INC. Portfolio Manager>37400
26
List of Ontario Registrants as of November 1, 2020
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
FAIRMONT ASSET MANAGEMENT INC. Exempt Market Dealer>64290
FALCON ASSET MANAGEMENT INC. Exempt Market Dealer>29810
FALCON ASSET MANAGEMENT INC. Investment Fund Manager>29810
FALCON ASSET MANAGEMENT INC. Portfolio Manager>29810
FARBER SECURITIES INC. Exempt Market Dealer>65620
FEDERATED INVESTORS CANADA ULC Investment Fund Manager>52120
FEDERATED INVESTORS CANADA ULC Portfolio Manager>52120
FENGATE CAPITAL MANAGEMENT LTD. Investment Fund Manager>59650
FENGATE CAPITAL MANAGEMENT LTD. Portfolio Manager>59650
FENGATE CAPITAL MANAGEMENT LTD. Exempt Market Dealer>59650
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
Exempt Market Dealer>17240
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
FIDELITY MANAGEMENT & RESEARCH (CANADA) ULC Commodity Trading Manager>60480
FIDELITY MANAGEMENT & RESEARCH (CANADA) ULC Portfolio Manager>60480
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. Exempt Market Dealer>28950
FIELDHOUSE CAPITAL MANAGEMENT INC. Commodity Trading Manager>28950
FIELDHOUSE CAPITAL MANAGEMENT INC. Portfolio Manager>28950
27
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
FINHAVEN CAPITAL INC. Exempt Market Dealer>66080
FINN RIVER INVESTMENT MANAGEMENT INC. Exempt Market Dealer>65890
FINN RIVER INVESTMENT MANAGEMENT INC. Investment Fund Manager>65890
FINN RIVER INVESTMENT MANAGEMENT INC. Portfolio Manager>65890
FIRM CAPITAL SECURITIES CORP. Exempt Market Dealer>42070
FIRMINVEST ASSET MANAGEMENT CANADA INC. Exempt Market Dealer>12680
FIRMINVEST ASSET MANAGEMENT CANADA INC. Portfolio Manager>12680
FIRST AFFILIATED FAMILY OFFICE GROUP INC. Portfolio Manager>41340
FIRST AFFILIATED SECURITIES INC. Exempt Market Dealer>1410
FIRST AVENUE INVESTMENT COUNSEL INC. Investment Fund Manager>59610
FIRST AVENUE INVESTMENT COUNSEL INC. Portfolio Manager>59610
FIRST AVENUE INVESTMENT COUNSEL INC. Exempt Market Dealer>59610
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
FLORENCE WEALTH MANAGEMENT INC. Exempt Market Dealer>67190
FLOW INVESTMENT SERVICES CORP. Investment Fund Manager>12690
FLOW INVESTMENT SERVICES CORP. Portfolio Manager>12690
FLOW INVESTMENT SERVICES CORP. Exempt Market Dealer>12690
FOCUS ASSET MANAGEMENT LTD. Investment Fund Manager>29800
FOCUS ASSET MANAGEMENT LTD. Portfolio Manager>29800
FOREMOST FINANCIAL CORPORATION Exempt Market Dealer>34710
FOREST GATE FINANCIAL CORP. Exempt Market Dealer>65470
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
Exempt Market Dealer>17160
FORMULA GROWTH LIMITED / FORMULA GROWTH, SOCIETE LIMITEE
Investment Fund Manager>17160
FORSTRONG GLOBAL ASSET MANAGEMENT INC. Investment Fund Manager>12120
FORSTRONG GLOBAL ASSET MANAGEMENT INC. Exempt Market Dealer>12120
28
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
FORSTRONG GLOBAL ASSET MANAGEMENT INC. Portfolio Manager>12120
FORT CAPITAL SECURITIES LTD. Exempt Market Dealer>40220
FORTHLANE INVESTMENT MANAGEMENT INC. Investment Fund Manager>63570
FORTHLANE INVESTMENT MANAGEMENT INC. Portfolio Manager>63570
FORTHLANE INVESTMENT MANAGEMENT INC. Exempt Market Dealer>63570
FORTRADE CANADA LIMITED Investment Dealer>63670
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
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
FRANKLIN TEMPLETON INVESTMENTS CORP./SOCIETE DE PLACEMENTS FRANKLIN TEMPLETON
Portfolio Manager>3600
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
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
FRONTFOUR CAPITAL CORP. Exempt Market Dealer>36600
FRONTFOUR CAPITAL CORP. Portfolio Manager>36600
FRONTFOUR CAPITAL CORP. Investment Fund Manager>36600
FRONTIER CAPITAL FUNDS INC./FONDS FRONTIER CAPITAL INC. Mutual Fund Dealer>11150
FRONTWATER CAPITAL INC. Investment Fund Manager>29200
FRONTWATER CAPITAL INC. Commodity Trading Manager>29200
FRONTWATER CAPITAL INC. Portfolio Manager>29200
29
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
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
30
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
GAIN CAPITAL - FOREX.COM CANADA LTD. Investment Dealer>38580
GALIBIER CAPITAL MANAGEMENT LTD. Exempt Market Dealer>39660
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
GENERATION CAPITAL MANAGEMENT INC. Portfolio Manager>37330
GENERATION IACP INC. Investment Dealer>8030
GENERATION PMCA CORP. Investment Fund Manager>8150
GENERATION PMCA CORP. Portfolio Manager>8150
GENERATION PMCA CORP. Exempt Market Dealer>8150
GENERIC CAPITAL CORPORATION Exempt Market Dealer>30140
GENOVA PRIVATE MANAGEMENT INC. Portfolio Manager>24030
GENTAI ASSET MANAGEMENT CORP. Exempt Market Dealer>65090
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.
Exempt Market Dealer>19820
GESTION D'ACTIFS SECTORIELS INC. / SECTORAL ASSET MANAGEMENT INC.
Portfolio Manager>19820
GESTION DE CAPITAUX ROTHENBERG INC. / ROTHENBERG CAPITAL MANAGEMENT INC.
Investment Dealer>5170
31
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
GESTION DE PATRIMOINE BLUE BRIDGE INC. / BLUE BRIDGE WEALTH MANAGEMENT INC.
Portfolio Manager>31240
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 FINANCIERE CAPE COVE INC./CAPE COVE FINANCIAL MANAGEMENT INC.
Portfolio Manager>44570
GESTION FINANCIERE CAPE COVE INC./CAPE COVE FINANCIAL MANAGEMENT INC.
Exempt Market Dealer>44570
GESTION HNB-ANCHOR PLACEMENT INC. / HNB-ANCHOR INVESTMENT MANAGEMENT INC.
Portfolio Manager>19790
GESTION PALOS INC. / PALOS MANAGEMENT INC. Investment Fund 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
32
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
GIVERNY CAPITAL INC. Portfolio Manager>17580
GLC ASSET MANAGEMENT GROUP LTD. / GLC GROUPE DE GESTION D'ACTIFS LTEE.
Commodity Trading Manager>1460
GLC ASSET MANAGEMENT GROUP LTD. / GLC GROUPE DE GESTION D'ACTIFS LTEE.
Portfolio Manager>1460
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 INVESTMENTS INC. / LES INVESTISSEMENTS GLOBAL MAXFIN INC.
Mutual Fund Dealer>9080
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
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. Portfolio Manager>1450
GLUSKIN SHEFF + ASSOCIATES INC. Exempt Market Dealer>1450
GLUSKIN SHEFF + ASSOCIATES INC. Investment Fund Manager>1450
GLUSKIN SHEFF + ASSOCIATES INC. Commodity Trading Manager>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
GOLD INVESTMENT MANAGEMENT LTD. Portfolio Manager>26490
GOLDMAN SACHS ASSET MANAGEMENT, L.P. / GESTION D'ACTIFS GOLDMAN SACHS LP
Commodity Trading Manager>13930
GOLDMAN SACHS ASSET MANAGEMENT, L.P. / GESTION D'ACTIFS GOLDMAN SACHS LP
Portfolio Manager>13930
GOLDMAN SACHS CANADA INC. Investment Dealer>9270
33
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
GRAVITY PARTNERS CAPITAL MANAGEMENT INC. Investment Fund Manager>63120
GRAVITY PARTNERS CAPITAL MANAGEMENT INC. Portfolio Manager>63120
GRAVITY PARTNERS CAPITAL MANAGEMENT INC. Exempt Market Dealer>63120
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
GREEN COURT CAPITAL MANAGEMENT LIMITED Portfolio Manager>58920
GREENCHIP FINANCIAL CORP. Investment Fund Manager>25690
GREENCHIP FINANCIAL CORP. Portfolio Manager>25690
GREENCHIP FINANCIAL CORP. Exempt Market Dealer>25690
GREENROCK CAPITAL PARTNERS INC. Investment Fund Manager>27650
GREENROCK CAPITAL PARTNERS INC. Portfolio Manager>27650
GREENSKEEPER ASSET MANAGEMENT INC. Exempt Market Dealer>34080
GREENSKEEPER ASSET MANAGEMENT INC. Investment Fund Manager>34080
GREENSKEEPER ASSET MANAGEMENT INC. Portfolio Manager>34080
GREENSKY CAPITAL INC. Exempt Market Dealer>28840
GREYBROOK SECURITIES INC. Exempt Market Dealer>2150
GREYHILL CAPITAL PARTNERS INC. Exempt Market Dealer>65120
GREYPOINT CAPITAL INC. Exempt Market Dealer>41530
34
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
GROUP RMC ADVISORS INC. Exempt Market Dealer>65250
GROUPE CLOUTIER INVESTISSEMENTS INC. Mutual Fund Dealer>24770
GROWTHQUEST CAPITAL INC. Portfolio Manager>7900
GRUPO4X INC. Restricted Portfolio Manager>60050
GRUPO4X INC. Investment Fund Manager>60050
GRUPO4X INC. Exempt Market Dealer>60050
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
GS INVESTMENT STRATEGIES CANADA INC. Portfolio Manager>66480
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 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 November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
HAMILTON LANE (CANADA) LLC Investment Fund Manager>21310
HAMILTON LANE (CANADA) LLC Portfolio Manager>21310
HAMILTON LANE (CANADA) LLC Exempt Market Dealer>21310
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
HARNESS INVESTMENT MANAGEMENT INC. Portfolio Manager>66440
HARNESS INVESTMENT MANAGEMENT INC. Exempt Market Dealer>66440
HARRIS DOUGLAS ASSET MANAGEMENT INC. Investment Fund Manager>63620
HARRIS DOUGLAS ASSET MANAGEMENT INC. Portfolio Manager>63620
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
HAWKEYE WEALTH LTD. Exempt Market Dealer>60940
HAYWOOD SECURITIES INC. / VALEURS MOBILIERES HAYWOOD INC.
Investment Dealer>1630
HEADSAIL WEALTH MANAGEMENT INCORPORATED Portfolio Manager>48770
HEATHBRIDGE CAPITAL MANAGEMENT LTD. Investment Fund Manager>7680
HEATHBRIDGE CAPITAL MANAGEMENT LTD. Portfolio Manager>7680
HEATHBRIDGE CAPITAL MANAGEMENT LTD. Exempt Market Dealer>7680
HEIRLOOM INVESTMENT MANAGEMENT (CANADA) INC. Commodity Trading Manager>61780
HEIRLOOM INVESTMENT MANAGEMENT (CANADA) INC. Portfolio Manager>61780
HEIRLOOM INVESTMENT MANAGEMENT (CANADA) INC. Exempt Market Dealer>61780
HEMISPHERE CAPITAL MANAGEMENT INC. Investment Fund Manager>13510
HEMISPHERE CAPITAL MANAGEMENT INC. Portfolio Manager>13510
36
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
HENLEY CAPITAL CORPORATION Portfolio Manager>9900
HENLEY CAPITAL CORPORATION Exempt Market Dealer>9900
HEXAVEST INC. Investment Fund Manager>18060
HEXAVEST INC. Commodity Trading Manager>18060
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
HIGH TIDE WEALTH MANAGEMENT INC. Portfolio Manager>34030
HIGHLAND CONSULTING ASSOCIATES INTERNATIONAL, INC. Portfolio Manager>50220
HIGHNESS GLOBAL CAPITAL INC. Exempt Market Dealer>64580
HIGHSTREET ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS HIGHSTREET
Investment Fund Manager>7960
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
HIGHVIEW ASSET MANAGEMENT LTD. Portfolio Manager>16790
HIGHWOOD VALUE PARTNERS INC. Portfolio Manager>64210
HILLMOUNT CAPITAL MANAGEMENT INC. Investment Fund Manager>57010
HILLMOUNT CAPITAL MANAGEMENT INC. Portfolio Manager>57010
HILLMOUNT CAPITAL MANAGEMENT INC. Exempt Market Dealer>57010
HILLSDALE INVESTMENT MANAGEMENT INC. Investment Fund Manager>6130
HILLSDALE INVESTMENT MANAGEMENT INC. Portfolio Manager>6130
HILLSDALE INVESTMENT MANAGEMENT INC. Exempt Market Dealer>6130
HMW CAPITAL INC. Exempt Market Dealer>26800
HOLDUN TRESTLE MANAGEMENT INC./GESTION HOLDUN TRESTLE INC.
Portfolio Manager>37970
HONEYTREE INVESTMENT MANAGEMENT LTD. Portfolio Manager>64400
HORIZONONE ASSET MANAGEMENT INC. Investment Fund Manager>20370
HORIZONONE ASSET MANAGEMENT INC. Portfolio Manager>20370
HORIZONONE ASSET MANAGEMENT INC. Exempt Market Dealer>20370
37
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
HOWARD, BARCLAY & ASSOCIATES LTD. Portfolio Manager>4600
HSBC GLOBAL ASSET MANAGEMENT (CANADA) LIMITED. / GESTION GLOBALE D'ACTIFS HSBC (CANADA) LIMITEE
Portfolio Manager>3840
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 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
HUENIKEN ASSET MANAGEMENT INC. Portfolio Manager>58910
HUENIKEN ASSET MANAGEMENT INC. Exempt Market Dealer>58910
HUGHESLITTLE INVESTMENT MANAGEMENT LTD. Investment Fund Manager>21050
HUGHESLITTLE INVESTMENT MANAGEMENT LTD. Portfolio Manager>21050
HUGHESLITTLE INVESTMENT MANAGEMENT LTD. Exempt Market Dealer>21050
HUXTON BLACK LTD. Portfolio Manager>59400
HUXTON BLACK LTD. Exempt Market Dealer>59400
HYMAS INVESTMENT MANAGEMENT INC. Exempt Market Dealer>10260
HYMAS INVESTMENT MANAGEMENT INC. Investment Fund Manager>10260
HYMAS INVESTMENT MANAGEMENT INC. Portfolio Manager>10260
HYPERION CAPITAL INC. Exempt Market Dealer>69010
HYPOSWISS ADVISORS SA Portfolio Manager>51950
38
List of Ontario Registrants as of November 1, 2020
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
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
ICM INVESTMENT MANAGEMENT INC. Investment Fund Manager>58000
ICM INVESTMENT MANAGEMENT INC. Exempt Market Dealer>58000
ICPP FUNDS LTD. Investment Fund Manager>54810
ICPP FUNDS LTD. Portfolio Manager>54810
ICPP FUNDS LTD. Exempt Market Dealer>54810
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
IIFL CAPITAL (CANADA) LIMITED Exempt Market Dealer>59430
IIFL CAPITAL PTE LTD. Portfolio Manager>61620
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
IMPERIAL CAPITAL ALTASSETS INC. Investment Fund Manager>66650
IMPERIAL CAPITAL ALTASSETS INC. Portfolio Manager>66650
IMPERIAL CAPITAL ALTASSETS INC. Exempt Market Dealer>66650
INDEPENDENT ACCOUNTANTS' INVESTMENT COUNSEL INC. Portfolio Manager>9420
INDEPENDENT TRADING GROUP (ITG) INC. Investment Dealer>29140
INDIGOBLUE CAPITAL CORPORATION Exempt Market Dealer>60960
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
39
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
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
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
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
INOVESTOR ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS INOVESTOR INC.
Portfolio Manager>58530
INSIGHT INVESTMENT INTERNATIONAL LIMITED Portfolio Manager>10980
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 Manager>7600
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
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-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
INTERWARD ASSET MANAGEMENT LTD. Investment Fund Manager>21590
INTERWARD ASSET MANAGEMENT LTD. Exempt Market Dealer>21590
INTERWARD ASSET MANAGEMENT LTD. Portfolio Manager>21590
INTL FCSTONE FINANCIAL (CANADA) INC. Futures Commission Merchant>62420
40
List of Ontario Registrants as of November 1, 2020
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 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 Portfolio 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
IP INVESTMENT COUNSEL INC. Portfolio Manager>62540
IP INVESTMENT COUNSEL INC. Exempt Market Dealer>62540
IPC INVESTMENT CORPORATION Exempt Market Dealer>5650
IPC INVESTMENT CORPORATION Mutual Fund Dealer>5650
IPC SECURITIES CORPORATION / IPC VALEURS MOBILIERES Investment Dealer>8780
IRIS ASSET MANAGEMENT LTD. Portfolio Manager>43290
IUR CAPITAL LTD. Portfolio Manager>37230
41
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
JAPA INTERNATIONAL LIMITED Portfolio Manager>6970
JARISLOWSKY, FRASER LIMITEE / JARISLOWSKY, FRASER LIMITED
Commodity Trading Manager>5570
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
JCIC ASSET MANAGEMENT INC./JCIC GESTION D'ACTIFS INC. Portfolio Manager>1840
JCIC ASSET MANAGEMENT INC./JCIC GESTION D'ACTIFS INC. Investment Fund Manager>1840
JCM VENTURE CAPITAL LTD. Exempt Market Dealer>44410
JEFFERIES SECURITIES, INC. Investment Dealer>49620
JEMEKK CAPITAL MANAGEMENT (2017) INC. Portfolio Manager>56940
JEMEKK CAPITAL MANAGEMENT (2017) INC. Exempt Market Dealer>56940
JEMEKK CAPITAL MANAGEMENT (2017) INC. Investment Fund Manager>56940
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. Investment Fund Manager>40600
JM FUND MANAGEMENT INC. Portfolio Manager>40600
JM FUND MANAGEMENT INC. Exempt Market Dealer>40600
JOG CAPITAL CORP. Investment Fund Manager>40840
JOG CAPITAL CORP. Exempt Market Dealer>40840
JONESTRADING CANADA INC./COURTAGE JONES CANADA INC. Investment Dealer>28380
JP MILANI ASSET MANAGEMENT INC. Portfolio Manager>60430
42
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
JSL ASSET MANAGEMENT INC. Investment Fund Manager>61010
JSL ASSET MANAGEMENT INC. Portfolio Manager>61010
JSL ASSET MANAGEMENT INC. Exempt Market Dealer>61010
JUSTWEALTH FINANCIAL INC. Portfolio Manager>52700
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 November 1, 2020
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
KALSA CAPITAL MANAGEMENT INC. Investment Fund Manager>68670
KALSA CAPITAL MANAGEMENT INC. Portfolio Manager>68670
KALSA CAPITAL MANAGEMENT INC. Exempt Market Dealer>68670
KAYAK CAPITAL MANAGEMENT INC. Portfolio Manager>60070
KAYAK CAPITAL MANAGEMENT INC. Investment Fund Manager>60070
KAYAK CAPITAL MANAGEMENT INC. Exempt Market Dealer>60070
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 Investment Fund Manager>45930
KILGOUR WILLIAMS CAPITAL INCORPORATED Exempt Market Dealer>45930
KILGOUR WILLIAMS CAPITAL INCORPORATED Restricted Portfolio Manager>45930
KINDIGO CAPITAL LTD. Commodity Trading Manager>51630
KINDIGO CAPITAL LTD. Exempt Market Dealer>51630
KINDLE CAPITAL MANAGEMENT INC. Exempt Market Dealer>44690
KINGWEST & COMPANY / LA SOCIETE KINGWEST ET COMPAGNIE Investment Fund Manager>1930
KINGWEST & COMPANY / LA SOCIETE KINGWEST ET COMPAGNIE Investment Dealer>1930
KINSMAN OAK CAPITAL PARTNERS INC. Investment Fund Manager>66820
KINSMAN OAK CAPITAL PARTNERS INC. Portfolio Manager>66820
KINSMAN OAK CAPITAL PARTNERS INC. Exempt Market Dealer>66820
KINSTED WEALTH INC. Investment Fund Manager>16100
44
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
KINSTED WEALTH INC. Portfolio Manager>16100
KNOWLEDGE FIRST FINANCIAL INC./LA PREMIERE FINANCIERE DU SAVOIR INC.
Investment Fund Manager>3230
KNOWLEDGE FIRST FINANCIAL INC./LA PREMIERE FINANCIERE DU SAVOIR INC.
Scholarship Plan Dealer>3230
KOLONA CAPITAL MANAGEMENT INC. Investment Fund Manager>66570
KOLONA CAPITAL MANAGEMENT INC. Portfolio Manager>66570
KOLONA CAPITAL MANAGEMENT INC. Exempt Market Dealer>66570
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
KVB KUNLUN FINANCIAL CANADA INC. Exempt Market Dealer>65690
KWAJAMII FINANCIAL INC. Portfolio Manager>62690
45
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
LA FINANCIERE CONSTANCE INC / CONSTANCE FINANCIAL INC Investment Fund Manager>52130
LA FINANCIERE CONSTANCE INC / CONSTANCE FINANCIAL INC Portfolio Manager>52130
LAKESHORE SECURITIES INC. Investment Dealer>10580
LANGMAIDS ASSET MANAGEMENT INC. Portfolio Manager>9980
LANGMAIDS ASSET MANAGEMENT INC. Exempt Market Dealer>9980
LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC Exempt Market Dealer>39790
LAURELCREST PARTNERS INC. Exempt Market Dealer>68430
LAURIER CAPITAL FUNDING INC. Exempt Market Dealer>43460
LAURUS INVESTMENT COUNSEL INC. Portfolio Manager>48260
LAURUS INVESTMENT COUNSEL INC. Exempt Market Dealer>48260
LAURUS INVESTMENT COUNSEL INC. Investment Fund Manager>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
LAYLINE CAPITAL INC. Commodity Trading Manager>58640
LAYLINE CAPITAL INC. Portfolio Manager>58640
LAZARD ASSET MANAGEMENT (CANADA) SECURITIES, ULC Exempt Market Dealer>66320
LAZARD ASSET MANAGEMENT (CANADA), INC. / GESTION D'ACTIFS LAZARD (CANADA)
Investment Fund Manager>5740
LAZARD ASSET MANAGEMENT (CANADA), INC. / GESTION D'ACTIFS LAZARD (CANADA)
Portfolio 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
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
LEMAITRE CAPITAL MANAGEMENT INC. Commodity Trading Manager>60310
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
46
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
LES INVESTISSEMENTS RIVEMONT INC. / RIVEMONT INVESTMENTS INC.
Portfolio Manager>31760
LES SERVICES FINANCIERS CCFL S.E.N.C. / CCFL FINANCIAL SERVICES
Exempt Market Dealer>34270
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
LEVEL 3 INVESTMENT MANAGEMENT INC. Investment Fund Manager>58690
LEVEL 3 INVESTMENT MANAGEMENT INC. Portfolio Manager>58690
LEVEL 3 INVESTMENT MANAGEMENT INC. Exempt Market Dealer>58690
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 INTERNATIONAL INVESTMENT MANAGEMENT INC. Portfolio Manager>50470
LIBERTY NORTH CAPITAL CORP. Exempt Market Dealer>46570
LIGHTWATER PARTNERS LTD. Investment Fund Manager>27510
LIGHTWATER PARTNERS LTD. Portfolio Manager>27510
LIGHTWATER PARTNERS LTD. Exempt Market Dealer>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
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
LINK PLAN MANAGEMENT INC. Portfolio Manager>57600
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. Investment Fund Manager>18770
LISSOM INVESTMENT MANAGEMENT INC. Portfolio Manager>18770
LISSOM INVESTMENT MANAGEMENT INC. Exempt Market Dealer>18770
47
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
LOGAN WEALTH MANAGEMENT INC. Portfolio Manager>40200
LONGBOW CAPITAL INC Investment Fund Manager>29040
LONGBOW CAPITAL INC Exempt Market Dealer>29040
LONGVIEW ASSET MANAGEMENT LTD. Investment Fund Manager>37480
LONGVIEW ASSET MANAGEMENT LTD. Portfolio 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
Exempt Market Dealer>30200
LORNE STEINBERG WEALTH MANAGEMENT INC. / GESTION DE PATRIMOINE LORNE STEINBERG
Portfolio Manager>30200
LORNE STEINBERG WEALTH MANAGEMENT INC. / GESTION DE PATRIMOINE LORNE STEINBERG
Investment Fund Manager>30200
LOUISBOURG INVESTMENTS INC./LES PLACEMENTS LOUISBOURG INC.
Exempt Market Dealer>15320
LOUISBOURG INVESTMENTS INC./LES PLACEMENTS LOUISBOURG INC.
Investment Fund Manager>15320
LOUISBOURG INVESTMENTS INC./LES PLACEMENTS LOUISBOURG INC.
Portfolio Manager>15320
LP FINANCIAL PLANNING SERVICES LTD. Mutual Fund Dealer>14020
LSV ASSET MANAGEMENT Exempt Market Dealer>8920
LSV ASSET MANAGEMENT Portfolio Manager>8920
LUMEN ASSET MANAGEMENT INC. Investment Fund Manager>52480
LUMEN ASSET MANAGEMENT INC. Portfolio Manager>52480
LUMEN ASSET MANAGEMENT INC. Exempt Market Dealer>52480
LYCOS ASSET MANAGEMENT INC. Portfolio Manager>28580
LYNWOOD CAPITAL MANAGEMENT INC. Investment Fund Manager>60850
LYNWOOD CAPITAL MANAGEMENT INC. Portfolio Manager>60850
LYNWOOD CAPITAL MANAGEMENT INC. Exempt Market Dealer>60850
LYONS ASSET MANAGEMENT INC. Portfolio Manager>20230
LYSANDER FUNDS LIMITED Portfolio Manager>34560
LYSANDER FUNDS LIMITED Investment Fund Manager>34560
LYSANDER FUNDS LIMITED Exempt Market Dealer>34560
LYTTON FINANCIAL INC. Exempt Market Dealer>18500
48
List of Ontario Registrants as of November 1, 2020
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 Investment Fund Manager>2130
MACKENZIE FINANCIAL CORPORATION Commodity Trading Manager>2130
MACKENZIE FINANCIAL CORPORATION Portfolio Manager>2130
MACKENZIE FINANCIAL CORPORATION Exempt Market Dealer>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
MAISON PLACEMENTS CANADA INC. Investment Dealer>2140
MAJESTIC ASSET MANAGEMENT LLC Commodity Trading Manager>29010
MAJESTIC ASSET MANAGEMENT LLC Portfolio Manager>29010
MAJESTIC ASSET MANAGEMENT LLC Investment Fund Manager>29010
MAJESTIC ASSET MANAGEMENT LLC Exempt Market Dealer>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
MANULIFE INVESTMENT MANAGEMENT DISTRIBUTORS INC./DISTRIBUTION GESTION DE PLACEMENTS MANUVIE INC.
Exempt Market Dealer>48020
MANULIFE INVESTMENT MANAGEMENT LIMITED/GESTION DE PLACEMENTS MANUVIE LIMITEE
Investment Fund Manager>1150
49
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
MANULIFE INVESTMENT MANAGEMENT LIMITED/GESTION DE PLACEMENTS MANUVIE LIMITEE
Commodity Trading Manager>1150
MANULIFE INVESTMENT MANAGEMENT LIMITED/GESTION DE PLACEMENTS 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. Exempt Market Dealer>48840
MAPLE ROCK CAPITAL PARTNERS INC. Investment Fund Manager>48840
MAPLE ROCK CAPITAL PARTNERS INC. Portfolio Manager>48840
MAPLEHILL CAPITAL MANAGEMENT CORPORATION Portfolio Manager>28640
MAPLEHILL CAPITAL MANAGEMENT CORPORATION Exempt Market Dealer>28640
MAPLEWEST CAPITAL CORPORATION Investment Fund Manager>50500
MAPLEWEST CAPITAL CORPORATION Portfolio Manager>50500
MAPLEWEST CAPITAL CORPORATION Exempt Market Dealer>50500
MARATHON CAPITAL MARKETS, LLC Exempt Market Dealer>34150
MARKETAXESS CANADA COMPANY/SOCIETE MARKETAXESS CANADA
Investment Dealer>22630
MARKHAM CENTRE FINANCIAL SECURITIES INC. Exempt Market Dealer>61030
MARKSMAN ASSET MANAGEMENT INC. Portfolio Manager>58810
MARKSMAN ASSET MANAGEMENT INC. Exempt Market Dealer>58810
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. Investment Fund Manager>10780
MARRET ASSET MANAGEMENT INC. Commodity Trading Manager>10780
MARRET ASSET MANAGEMENT INC. Portfolio Manager>10780
MARRET ASSET MANAGEMENT INC. Exempt Market Dealer>10780
MARTIN, LUCAS & SEAGRAM LTD. Portfolio Manager>2160
MARVAL CAPITAL LTD. Exempt Market Dealer>59390
MARVAL CAPITAL LTD. Investment Fund Manager>59390
MARVAL CAPITAL LTD. Portfolio Manager>59390
MARYANA CAPITAL INC. Investment Fund Manager>59860
MARYANA CAPITAL INC. Portfolio Manager>59860
MATCO FINANCIAL INC. Investment Fund Manager>24290
50
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
MATCO FINANCIAL INC. Portfolio Manager>24290
MATCO FINANCIAL INC. Mutual Fund Dealer>24290
MATNOR HOLDINGS INC. Exempt Market Dealer>3810
MAWER DIRECT INVESTING LTD. Investment Dealer>52220
MAWER INVESTMENT MANAGEMENT LTD. Investment Fund Manager>16280
MAWER INVESTMENT MANAGEMENT LTD. Portfolio Manager>16280
MAWER INVESTMENT MANAGEMENT LTD. Mutual Fund Dealer>16280
MAXAM CAPITAL MANAGEMENT LTD. Investment Fund Manager>28060
MAXAM CAPITAL MANAGEMENT LTD. Portfolio Manager>28060
MAXAM CAPITAL MANAGEMENT LTD. Exempt Market Dealer>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 ASSET MANAGEMENT LTD. Investment Fund Manager>8540
MCLEAN ASSET MANAGEMENT LTD. Portfolio Manager>8540
MCLEAN ASSET MANAGEMENT LTD. Exempt Market Dealer>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 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
MERCER GLOBAL INVESTMENTS CANADA LIMITED Commodity Trading Manager>18020
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
MERCURY CAC HOLDINGS LIMITED Exempt Market Dealer>60930
MERRILL LYNCH CANADA INC. Futures Commission Merchant>2210
MERRILL LYNCH CANADA INC. Investment Dealer>2210
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Portfolio Manager>2500
MFS INVESTMENT MANAGEMENT CANADA LIMITED/MFS GESTION DE PLACEMENTS CANADA LIMITEE
Exempt Market Dealer>2190
51
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
MIDDLEFIELD CAPITAL CORPORATION Investment Dealer>2300
MIDDLEFIELD LIMITED Investment Fund Manager>34870
MIKALACHKI INVESTMENT MANAGEMENT LTD. Portfolio Manager>7610
MILES SANTO AND ASSOCIATES INC. Mutual Fund Dealer>5060
MILESTONE INVESTMENT COUNSEL INC. Portfolio Manager>5840
MILESTONE WEALTH MANAGEMENT LTD. Portfolio Manager>66810
MILLAR PRIVATE WEALTH MANAGEMENT INC. Portfolio Manager>37320
MILLAR PRIVATE WEALTH MANAGEMENT INC. Exempt Market Dealer>37320
MIM I LLC Portfolio Manager>38840
MINE EQUITIES LTD. Exempt Market Dealer>65660
MIRABAUD CANADA INC. Investment Dealer>6030
MIZUHO SECURITIES CANADA INC. Investment Dealer>65230
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. Portfolio Manager>51160
MOERUS CAPITAL MANAGEMENT LLC Portfolio Manager>57040
MOHAWK PRIVATE WEALTH INC. Exempt Market Dealer>61080
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
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
52
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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. Investment Fund Manager>26970
MOUNTAIN FOWLER ASSET MANAGEMENT INC. Commodity Trading Manager>26970
MOUNTAIN FOWLER ASSET MANAGEMENT INC. Portfolio Manager>26970
MOUNTAIN FOWLER ASSET MANAGEMENT INC. Exempt Market Dealer>26970
MPA MORRISON PARK ADVISORS INC. Exempt Market Dealer>37260
MUFG SECURITIES (CANADA), LTD. Investment Dealer>54270
MURCHINSON LTD. Investment Fund Manager>53110
MURCHINSON LTD. Exempt Market Dealer>53110
MURCHINSON LTD. Portfolio Manager>53110
53
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
NAPG EQUITIES INC. Exempt Market Dealer>2620
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 TRUST INC./TRUST BANQUE NATIONALE INC. Commodity Trading Manager>8570
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
NCM ASSET MANAGEMENT LTD. Investment Fund Manager>11210
NCM ASSET MANAGEMENT LTD. Portfolio Manager>11210
NCP INVESTMENT MANAGEMENT INC. Investment Fund Manager>38220
NCP INVESTMENT MANAGEMENT INC. Portfolio 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
NEO-CRITERION CAPITAL LIMITED Portfolio Manager>63340
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
NEUBERGER BERMAN BRETON HILL ULC Commodity Trading Manager>32370
NEUBERGER BERMAN BRETON HILL ULC Investment Fund Manager>32370
NEUBERGER BERMAN BRETON HILL ULC Portfolio Manager>32370
NEUBERGER BERMAN BRETON HILL ULC Exempt Market Dealer>32370
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
54
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
NEXTGEN FINANCIAL PLANNING INC. Portfolio Manager>62840
NEXUS INVESTMENT MANAGEMENT ULC Investment Fund Manager>350
NEXUS INVESTMENT MANAGEMENT ULC Portfolio Manager>350
NEXUSCROWD INC. Exempt Market Dealer>49290
NICOLA WEALTH MANAGEMENT LTD. Investment Fund Manager>14790
NICOLA WEALTH MANAGEMENT LTD. Exempt Market Dealer>14790
NICOLA WEALTH MANAGEMENT LTD. Portfolio Manager>14790
NINEPOINT PARTNERS LP Portfolio Manager>59250
NINEPOINT PARTNERS LP Commodity Trading Manager>59250
NINEPOINT PARTNERS LP Investment Fund Manager>59250
NINEPOINT PARTNERS LP Exempt Market Dealer>59250
NISA INVESTMENT ADVISORS, LLC Commodity Trading Manager>25070
NISA INVESTMENT ADVISORS, LLC Portfolio Manager>25070
NOAH CANADA WEALTH MANAGEMENT LIMITED Investment Fund Manager>64330
NOAH CANADA WEALTH MANAGEMENT LIMITED Portfolio Manager>64330
NOAH CANADA WEALTH MANAGEMENT LIMITED Exempt Market Dealer>64330
NOBLE BAY ASSET MANAGEMENT INC. Portfolio Manager>44830
NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC. / GESTION DES PLACEMENTS NORDEA, AMERIQUE DU NORD
Portfolio Manager>12590
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
NORTHFRONT FINANCIAL INC. Investment Fund Manager>64170
NORTHFRONT FINANCIAL INC. Portfolio Manager>64170
NORTHFRONT FINANCIAL INC. Exempt Market Dealer>64170
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
NORTHPOINT INVESTMENT PARTNERS LIMITED Commodity Trading Manager>49100
NORTHPOINT INVESTMENT PARTNERS LIMITED Portfolio Manager>49100
NORTHPOINT INVESTMENT PARTNERS LIMITED Investment Fund Manager>49100
NORTHSTREAM CAPITAL INC. Investment Fund Manager>53710
NORTHSTREAM CAPITAL INC. Portfolio Manager>53710
55
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
NORTHSTREAM CAPITAL INC. Exempt Market Dealer>53710
NORTHWEST & ETHICAL INVESTMENTS L.P. Exempt Market Dealer>26910
NORTHWEST & ETHICAL INVESTMENTS L.P. Commodity Trading Manager>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
NOUR PRIVATE WEALTH INC./GESTION PRIVEE NOUR INC. Investment Dealer>58120
NS PARTNERS LTD Investment Fund Manager>4320
NS PARTNERS LTD Exempt Market Dealer>4320
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
NUMUS CAPITAL CORP. Exempt Market Dealer>57260
NUVEEN CANADA COMPANY Exempt Market Dealer>63210
NVESTRY CAPITAL INC. Exempt Market Dealer>38440
NYLIFE DISTRIBUTORS LLC Exempt Market Dealer>23780
56
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
OAK BAY CAPITAL INCORPORATED Exempt Market Dealer>67060
OAK BAY CAPITAL INCORPORATED Investment Fund Manager>67060
OAK BAY CAPITAL INCORPORATED Portfolio Manager>67060
OANDA (CANADA) CORPORATION ULC Investment Dealer>24590
OBERON CAPITAL CORPORATION Investment Fund Manager>30370
OBERON CAPITAL CORPORATION Portfolio Manager>30370
OBERON CAPITAL CORPORATION Exempt Market Dealer>30370
OCP FUND MANAGEMENT LP Investment Fund Manager>52070
OCP FUND MANAGEMENT LP Portfolio Manager>52070
OCP FUND MANAGEMENT LP Exempt Market Dealer>52070
ODLUM BROWN LIMITED Investment Dealer>2640
OGAM LTD. Investment Fund Manager>22940
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
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
OPEN ACCESS LIMITED Portfolio Manager>6240
OPEN ACCESS LIMITED Exempt Market Dealer>6240
OPEN ACCESS LIMITED Mutual Fund Dealer>6240
OPTIMIZE INC. Investment Fund Manager>31830
OPTIMIZE INC. Exempt Market Dealer>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
ORTHOGONAL CAPITAL MANAGEMENT CORPORATION Portfolio Manager>56850
O'SHAUGHNESSY ASSET MANAGEMENT, LLC Portfolio Manager>27910
OSPREY CAPITAL PARTNERS INC. Exempt Market Dealer>8330
57
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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
OUR FAMILY OFFICE INC. Exempt Market Dealer>58540
OUR FAMILY OFFICE INC. Investment Fund Manager>58540
OUR FAMILY OFFICE INC. Portfolio Manager>58540
OURCROWD CANADA INC Exempt Market Dealer>55600
OUTCOME METRIC ASSET MANAGEMENT LIMITED PARTNERSHIP / SOCIETE EN COMMANDITE GESTION D'ACTIFS OUTCOME METRIQUES
Exempt Market Dealer>43210
OUTCOME METRIC ASSET MANAGEMENT LIMITED PARTNERSHIP / SOCIETE EN COMMANDITE GESTION D'ACTIFS OUTCOME METRIQUES
Commodity Trading Manager>43210
OUTCOME METRIC ASSET MANAGEMENT LIMITED PARTNERSHIP / SOCIETE EN COMMANDITE GESTION D'ACTIFS OUTCOME METRIQUES
Investment Fund Manager>43210
OUTCOME METRIC ASSET MANAGEMENT LIMITED PARTNERSHIP / SOCIETE EN COMMANDITE GESTION D'ACTIFS OUTCOME METRIQUES
Portfolio Manager>43210
58
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
PACIFIC SPIRIT INVESTMENT MANAGEMENT INC. Portfolio Manager>15140
PACIFICA PARTNERS INC. Portfolio Manager>28570
PACIFICA PARTNERS INC. Investment Fund 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
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
PARADIGM CAPITAL INC. / PARADIGME CAPITAL INC. Investment Dealer>3450
PARAGON PRIVATE WEALTH, INC./CLIENT PRIVE PARAGON Portfolio Manager>35780
PARAMETRIC PORTFOLIO ASSOCIATES LLC Commodity Trading Manager>42850
PARAMETRIC PORTFOLIO ASSOCIATES LLC Portfolio Manager>42850
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 Exempt Market Dealer>22060
PATHWAY CAPITAL MANAGEMENT, LP Portfolio Manager>22060
PATIENT CAPITAL MANAGEMENT INC. Portfolio Manager>9300
PATIENT CAPITAL MANAGEMENT INC. Exempt Market Dealer>9300
PATRIMONICA GESTION D'ACTIFS INC. / PATRIMONICA ASSET MANAGEMENTS INC.
Portfolio Manager>39670
PAVILION GLOBAL MARKETS LTD Futures Commission Merchant>19170
PAVILION GLOBAL MARKETS LTD Investment Dealer>19170
PBY CAPITAL LIMITED Exempt Market Dealer>68600
PCJ INVESTMENT COUNSEL LTD. Investment Fund Manager>7060
PCJ INVESTMENT COUNSEL LTD. Portfolio Manager>7060
PE GATE PARTNERS Exempt Market Dealer>62620
PEAK SECURITIES INC./VALEURS MOBILIERES PEAK INC. Investment Dealer>10710
59
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
PEARTREE SECURITIES INC. Investment Fund Manager>43510
PEARTREE SECURITIES INC. Restricted Portfolio Manager>43510
PEARTREE SECURITIES INC. Exempt Market Dealer>43510
PEER SECURITIES CORPORATION Exempt Market Dealer>65410
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. Commodity Trading Manager>21500
PERENNIAL ASSET MANAGEMENT CORP. Investment Fund Manager>21500
PERENNIAL ASSET MANAGEMENT CORP. Portfolio Manager>21500
PERENNIAL ASSET MANAGEMENT CORP. Exempt Market Dealer>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
PERISCOPE CAPITAL INC. Commodity Trading Counsel>29480
PERISCOPE CAPITAL INC. Exempt Market Dealer>29480
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
60
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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.
Investment Fund Manager>23460
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
PILLARFOUR SECURITIES INC. Exempt Market Dealer>54180
PIMCO CANADA CORP. Exempt Market Dealer>18110
PIMCO CANADA CORP. Investment Fund Manager>18110
PIMCO CANADA CORP. Commodity Trading Manager>18110
PIMCO CANADA CORP. Portfolio Manager>18110
PINNACLE WEALTH BROKERS INC. Portfolio Manager>31740
PINNACLE WEALTH BROKERS INC. Exempt Market Dealer>31740
PINNACLE WEALTH BROKERS INC. Investment Fund Manager>31740
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
PLACEMORE CAPITAL INC. Exempt Market Dealer>67650
PLANMAR FINANCIAL CORP. Mutual Fund Dealer>2750
PLANNING CIRCLE FINANCIAL GROUP INC. Mutual Fund Dealer>4870
POLAR ASSET MANAGEMENT PARTNERS INC. Commodity Trading Manager>2820
POLAR ASSET MANAGEMENT PARTNERS INC. Portfolio Manager>2820
POLAR ASSET MANAGEMENT PARTNERS INC. Exempt Market Dealer>2820
POLAR ASSET MANAGEMENT PARTNERS INC. Investment Fund Manager>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
PORTAGE CAPITAL CORPORATION Exempt Market Dealer>66220
PORTFOLIO MANAGEMENT CORPORATION Portfolio Manager>2780
PORTFOLIO STEWARDS INC. Portfolio Manager>39380
61
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
PORTFOLIO STEWARDS INC. Exempt Market Dealer>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
POWER PACIFIC INVESTMENT MANAGEMENT INC. Investment Fund Manager>62910
POWER PACIFIC INVESTMENT MANAGEMENT INC. Portfolio Manager>62910
POWERONE CAPITAL MARKETS LIMITED Exempt Market Dealer>17010
PRATTE GESTION DE PORTEFEUILLES INC./PRATTE PORTFOLIO MANAGEMENT INC.
Investment Fund Manager>52660
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
PRICE STREET, INC. Portfolio Manager>68610
PRICE STREET, INC. Exempt Market Dealer>68610
PRICEWATERHOUSECOOPERS CORPORATE FINANCE INC. Exempt Market Dealer>3550
PRIMARY CAPITAL INC./GROUPE FINANCIER PRIMARY CAPITAL Exempt Market Dealer>23980
PRIME QUADRANT CORP. Investment Fund Manager>62610
PRIME QUADRANT CORP. Portfolio Manager>62610
PRIME QUADRANT CORP. Exempt Market Dealer>62610
PRIMEVEST CAPITAL CORP. Investment Fund Manager>26780
PRIMEVEST CAPITAL CORP. Exempt Market Dealer>26780
PRIVATE PENSION PARTNERS INVESTMENTS INC. Exempt Market Dealer>66990
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
PROGRESSIVE FINANCIAL STRATEGY CAPITAL GROUP CORP. Mutual Fund Dealer>6720
PROVISUS WEALTH MANAGEMENT LIMITED Exempt Market Dealer>24990
PROVISUS WEALTH MANAGEMENT LIMITED Investment Fund Manager>24990
62
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
PROVISUS WEALTH MANAGEMENT LIMITED Portfolio Manager>24990
PSC INVESTMENT COUNSEL LTD. Portfolio Manager>44850
PUGSLEY CAPITAL INC. Portfolio Manager>27980
PURPOSE INVESTMENT PARTNERS INC. Exempt Market Dealer>42210
PURPOSE INVESTMENT PARTNERS INC. Investment Fund Manager>42210
PURPOSE INVESTMENT PARTNERS INC. Portfolio Manager>42210
PURPOSE INVESTMENTS INC. Commodity Trading Manager>41580
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
63
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
Q CAPITAL MANAGEMENT LTD. Commodity Trading Manager>56570
QTRADE ASSET MANAGEMENT INC./GESTION D'ACTIFS QTRADE INC.
Mutual Fund Dealer>17480
QUADRANT PRIVATE WEALTH CORPORATION Investment Fund Manager>18600
QUADRANT PRIVATE WEALTH CORPORATION Exempt Market Dealer>18600
QUADRANT PRIVATE WEALTH CORPORATION Portfolio Manager>18600
QUADRAVEST CAPITAL MANAGEMENT INC. Portfolio Manager>1820
QUADRAVEST CAPITAL MANAGEMENT INC. Exempt Market Dealer>1820
QUADRAVEST CAPITAL MANAGEMENT INC. Investment Fund 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
QUEEN FINANCIAL GROUP INC. Exempt Market Dealer>22680
QUEEN FINANCIAL GROUP INC. Mutual Fund Dealer>22680
QUEEN INTERNATIONAL GROUP INC. Exempt Market Dealer>55910
QUEENSBURY SECURITIES INC. Investment Dealer>3030
QUEENSBURY STRATEGIES INC. Mutual Fund Dealer>4200
QUEENSBURY STRATEGIES INC. Exempt Market 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
QUINTESSENCE WEALTH Exempt Market Dealer>25780
QUINTESSENCE WEALTH Investment Fund Manager>25780
QUINTESSENCE WEALTH Portfolio Manager>25780
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
QWEST INVESTMENT FUND MANAGEMENT LTD. Portfolio Manager>22000
QWEST INVESTMENT FUND MANAGEMENT LTD. Investment Fund Manager>22000
64
List of Ontario Registrants as of November 1, 2020
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. Futures Commission Merchant>30390
R.J. O'BRIEN & ASSOCIATES CANADA INC. Investment Dealer>30390
R.N.CROFT FINANCIAL GROUP INC. / R.N.CROFT FINANCIAL GROUP INC.
Investment Fund Manager>860
R.N.CROFT FINANCIAL GROUP INC. / R.N.CROFT FINANCIAL GROUP INC.
Portfolio 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. Portfolio Manager>3110
RAE & LIPSKIE INVESTMENT COUNSEL INC. Investment Fund 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
RALLY ASSETS INC. Exempt Market Dealer>64540
RALLY ASSETS INC. Portfolio Manager>64540
RAVENSTONE CAPITAL MANAGEMENT INC. Investment Fund Manager>60030
RAVENSTONE CAPITAL MANAGEMENT INC. Portfolio Manager>60030
RAVENSTONE CAPITAL MANAGEMENT INC. Exempt Market Dealer>60030
RAYMOND CHABOT GRANT THORNTON CAPITAL INC. Exempt Market Dealer>42860
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. Exempt Market Dealer>25450
RAYNE CAPITAL MANAGEMENT INC. Investment Fund Manager>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
65
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
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 INVESTEASE INC./RBC INVESTIVITE INC. Restricted Portfolio Manager>58320
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC./RBC PHILLIPS, HAGER & NORTH SERVICES-CONSEILS EN PLACEMENTS INC.
Portfolio Manager>630
RCI INVESTMENT MANAGEMENT INC. Investment Fund Manager>28770
RCI INVESTMENT MANAGEMENT INC. Portfolio Manager>28770
RCI INVESTMENT MANAGEMENT INC. Exempt Market Dealer>28770
REALCAP HOLDINGS LIMITED Portfolio Manager>3180
REALTY FINANCIAL ADVISORS INC. Exempt Market Dealer>24920
RED CLOUD SECURITIES INC. Investment Dealer>62810
RED JACKET CAPITAL INC. Commodity Trading Manager>41210
RED JACKET CAPITAL INC. Investment Fund Manager>41210
RED JACKET CAPITAL INC. Portfolio Manager>41210
RED JACKET CAPITAL INC. Exempt Market Dealer>41210
RED SKY CAPITAL MANAGEMENT LTD. Investment Fund Manager>32250
RED SKY CAPITAL MANAGEMENT LTD. Portfolio Manager>32250
RED SKY CAPITAL MANAGEMENT LTD. Exempt Market Dealer>32250
REGENT CAPITAL PARTNERS INC. Investment Dealer>6830
REGULUS CAPITAL MANAGEMENT INC. Portfolio Manager>62520
RELEVANCE WEALTH MANAGEMENT INC. Investment Fund Manager>67380
RELEVANCE WEALTH MANAGEMENT INC. Portfolio Manager>67380
RELEVANCE WEALTH MANAGEMENT INC. Exempt Market Dealer>67380
REMPART ASSET MANAGEMENT INC./GESTION DE PLACEMENTS REMPART INC.
Portfolio Manager>32560
RESOLUTE FUNDS LIMITED Investment Fund Manager>18890
RESOLUTE FUNDS LIMITED Portfolio Manager>18890
RESOLVE ASSET MANAGEMENT INC. Commodity Trading Manager>51220
RESOLVE ASSET MANAGEMENT INC. Investment Fund Manager>51220
RESOLVE ASSET MANAGEMENT INC. Portfolio Manager>51220
RESOLVE ASSET MANAGEMENT INC. Exempt Market Dealer>51220
RETHINK AND DIVERSIFY SECURITIES INC. Exempt Market Dealer>47250
RETIRE FIRST LTD. Investment Dealer>22580
RF SECURITIES CLEARING LP/ COMPENSATION DE TITRES RF S.E.C
Investment Dealer>21980
RGF WEALTH MANAGEMENT LTD. Investment Dealer>11460
66
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
RICHARDSON GMP LIMITED / RICHARDSON GMP LIMITEE Investment Dealer>21970
RICHMOND EQUITY MANAGEMENT LTD. Exempt Market Dealer>31920
RICHMOND EQUITY MANAGEMENT LTD. Investment Fund Manager>31920
RICHTER FAMILY OFFICE./ BUREAU FAMILIAL RICHTER INC. Portfolio Manager>10170
RIDGEWOOD CAPITAL ASSET MANAGEMENT INC. Mutual Fund Dealer>27940
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
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
ROCKBASE CAPITAL INC. Exempt Market Dealer>54330
ROCKLINC INVESTMENT PARTNERS INC. Investment Fund Manager>31020
ROCKLINC INVESTMENT PARTNERS INC. Exempt Market Dealer>31020
ROCKLINC INVESTMENT PARTNERS INC. Portfolio Manager>31020
ROGAN INVESTMENT MANAGEMENT LIMITED Portfolio Manager>3060
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
ROSSEAU ASSET MANAGEMENT LTD. Investment Fund Manager>7970
ROSSEAU ASSET MANAGEMENT LTD. Portfolio Manager>7970
ROSSEAU ASSET MANAGEMENT LTD. Exempt Market Dealer>7970
ROTH CANADA, ULC Investment Dealer>65930
ROTHSCHILD & CO SECURITIES CANADA INC./VALEURS MOBILIERES ROTHSCHILD & CIE CANADA
Exempt Market Dealer>7100
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
67
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
RP INVESTMENT ADVISORS LP Exempt Market Dealer>57590
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
68
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
SAGUENAY STRATHMORE CAPITAL INC. Exempt Market Dealer>36680
SAGUENAY STRATHMORE CAPITAL INC. Investment Fund Manager>36680
SAGUENAY STRATHMORE CAPITAL INC. Portfolio Manager>36680
SAGUENAY STRATHMORE CAPITAL, L.P, Portfolio Manager>21710
SAGUENAY STRATHMORE CAPITAL, L.P, Exempt Market Dealer>21710
SAGUENAY STRATHMORE CAPITAL, L.P, Investment Fund Manager>21710
SAMARA CAPITAL INC. Investment Fund Manager>36660
SAMARA CAPITAL INC. Portfolio Manager>36660
SAMARA CAPITAL INC. Exempt Market Dealer>36660
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
SARONA ASSET MANAGEMENT INC. Exempt Market Dealer>57830
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
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. Portfolio Manager>44880
69
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
SEAMARK ASSET MANAGEMENT LTD. Exempt Market Dealer>44880
SEAMARK ASSET MANAGEMENT LTD. Investment Fund Manager>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
SERVICES CONSEILS OPTIMISTA INC. / OPTIMISTA CONSULTING SERVICES INC.
Exempt Market Dealer>61300
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
SHARIAPORTFOLIO CANADA, INC. Exempt Market Dealer>64970
SHARIAPORTFOLIO CANADA, INC. Portfolio Manager>64970
SHARNO CAPITAL CORPORATION Exempt Market Dealer>65040
SHARNO CAPITAL CORPORATION Portfolio Manager>65040
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
SHORCAN BROKERS LIMITED Exempt Market Dealer>3470
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
SIGHTLINE WEALTH MANAGEMENT LP Investment Dealer>59260
70
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
SIGMA ANALYSIS & MANAGEMENT LTD. Exempt Market Dealer>10390
SIGMA ANALYSIS & MANAGEMENT LTD. Commodity Trading Manager>10390
SIGMA ANALYSIS & MANAGEMENT LTD. Commodity Trading Counsel>10390
SIGMA ANALYSIS & MANAGEMENT LTD. Portfolio Manager>10390
SIGMA ANALYSIS & MANAGEMENT LTD. Investment Fund 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
SILVERCREEK MANAGEMENT INC. Investment Fund Manager>9890
SILVERCREEK MANAGEMENT INC. Portfolio Manager>9890
SILVERCREEK MANAGEMENT INC. Exempt Market Dealer>9890
SINCLAIR-COCKBURN FINANCIAL SERVICES INC. Exempt Market 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
SLATE SECURITIES L.P. Investment Fund Manager>61270
SLATE SECURITIES L.P. Portfolio Manager>61270
SLATE SECURITIES L.P. Exempt Market Dealer>61270
SLATER ASSET MANAGEMENT INC. Portfolio Manager>29970
SLGI ASSET MANAGEMENT INC. / GESTION D'ACTIFS PMSL INC. Mutual Fund Dealer>27680
SLGI ASSET MANAGEMENT INC. / GESTION D'ACTIFS PMSL INC. Commodity Trading Manager>27680
SLGI ASSET MANAGEMENT INC. / GESTION D'ACTIFS PMSL INC. Investment Fund Manager>27680
SLGI ASSET MANAGEMENT INC. / GESTION D'ACTIFS PMSL INC. Portfolio Manager>27680
SMART MONEY CAPITAL MANAGEMENT INC. Portfolio Manager>46920
SMARTBE WEALTH INC. Investment Fund Manager>61700
SMARTBE WEALTH INC. Portfolio Manager>61700
SMARTBE WEALTH INC. Exempt Market Dealer>61700
SMBC NIKKO SECURITIES CANADA, LTD. Investment Dealer>63310
SNOWLINE CAPITAL MANAGEMENT INC. Investment Fund Manager>54010
SNOWLINE CAPITAL MANAGEMENT INC. Portfolio Manager>54010
SNOWLINE CAPITAL MANAGEMENT INC. Exempt Market Dealer>54010
71
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
SOCIETE DE GESTION D'INVESTISSEMENT HEWARD INC./ HEWARD INVESTMENT MANAGEMENT INC.
Portfolio Manager>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
SOLIUM FINANCIAL INC. Investment Dealer>39130
SOMERSET CAPITAL MANAGEMENT LLP Portfolio Manager>27720
SONA WEALTH COUNSEL INC. Portfolio Manager>61600
SOUTTERHAM INVESTMENTS LIMITED Investment Fund Manager>11480
SOUTTERHAM INVESTMENTS LIMITED Portfolio Manager>11480
SOUTTERHAM INVESTMENTS LIMITED Exempt Market Dealer>11480
SPARTAN FUND MANAGEMENT INC. Investment Fund Manager>20500
SPARTAN FUND MANAGEMENT INC. Commodity Trading Manager>20500
SPARTAN FUND MANAGEMENT INC. Portfolio Manager>20500
SPARTAN FUND MANAGEMENT INC. Exempt Market Dealer>20500
SPOTLIGHT CAPITAL CORP. Exempt Market Dealer>11380
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 CAPITAL PARTNERS 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
ST GLOBAL ASSET MANAGEMENT INC. Commodity Trading Manager>64390
ST GLOBAL ASSET MANAGEMENT INC. Portfolio Manager>64390
ST&T CAPITAL MANAGEMENT LTD. Investment Fund Manager>62730
ST&T CAPITAL MANAGEMENT LTD. Portfolio Manager>62730
ST&T CAPITAL MANAGEMENT LTD. Exempt Market Dealer>62730
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
72
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
STACEY MUIRHEAD CAPITAL MANAGEMENT LTD. Exempt Market Dealer>6880
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
STARLIGHT INVESTMENTS CAPITAL LP Investment Fund Manager>61980
STARLIGHT INVESTMENTS CAPITAL LP Portfolio Manager>61980
STARLIGHT INVESTMENTS CAPITAL LP Exempt Market Dealer>61980
STARVINE CAPITAL CORPORATION Portfolio Manager>50120
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. Investment Fund Manager>25760
STEEPE & CO. LTD. Exempt Market Dealer>25760
STEPHENAVENUE SECURITIES INC. Investment Dealer>8080
STERLING MUTUALS INC. Exempt Market Dealer>5910
STERLING MUTUALS INC. Mutual Fund Dealer>5910
STIFEL NICOLAUS CANADA INC. Investment Dealer>3370
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
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. Investment Fund Manager>26340
STONECASTLE INVESTMENT MANAGEMENT INC. Exempt Market Dealer>26340
STONECASTLE INVESTMENT MANAGEMENT INC. Portfolio Manager>26340
73
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
STONEHOUSE CAPITAL MANAGEMENT INC. Portfolio Manager>10030
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
STRATEGIC GLOBAL ADVISORS, LLC Portfolio Manager>50880
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
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
SUN LIFE CAPITAL MANAGEMENT (CANADA) INC./GESTION DE CAPITAL SUN LIFE (CANADA) INC.
Exempt Market Dealer>45590
SUN LIFE CAPITAL MANAGEMENT (CANADA) INC./GESTION DE CAPITAL SUN LIFE (CANADA) INC.
Commodity Trading Manager>45590
SUN LIFE CAPITAL MANAGEMENT (CANADA) INC./GESTION DE CAPITAL SUN LIFE (CANADA) INC.
Investment Fund Manager>45590
SUN LIFE CAPITAL MANAGEMENT (CANADA) INC./GESTION DE CAPITAL SUN LIFE (CANADA) INC.
Portfolio Manager>45590
SUN LIFE FINANCIAL INVESTMENT SERVICES (CANADA) INC./PLACEMENTS FINANCIERE SUN LIFE (CANADA) INC.
Mutual Fund Dealer>2260
SUSTAINABLE GROWTH ADVISERS, LP Portfolio Manager>33300
SVX Exempt Market Dealer>45060
SYGNET CAPITAL INC. Portfolio Manager>64100
74
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
SYMETRYX CAPITAL MANAGEMENT INC. Investment Fund Manager>59700
SYMETRYX CAPITAL MANAGEMENT INC. Portfolio Manager>59700
SYMETRYX CAPITAL MANAGEMENT INC. Exempt Market Dealer>59700
75
List of Ontario Registrants as of November 1, 2020
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
TAILWIND CAPITAL INC. Investment Fund Manager>16930
TAILWIND CAPITAL INC. Portfolio Manager>16930
TAILWIND CAPITAL INC. Exempt Market Dealer>16930
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
TD ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS TD INC. Investment Fund Manager>5850
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
76
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
TEAMMAX INVESTMENT CORP. Mutual Fund Dealer>9640
TEMPERED INVESTMENT MANAGEMENT LTD. Investment Fund Manager>32780
TEMPERED INVESTMENT MANAGEMENT LTD. Exempt Market Dealer>32780
TEMPERED INVESTMENT MANAGEMENT LTD. Portfolio 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 COTTA INVESTMENT COUNSEL INC. Portfolio Manager>56020
TERRA COTTA INVESTMENT COUNSEL INC. Exempt Market Dealer>56020
TERRA FUND MANAGEMENT LTD. Investment Fund Manager>34160
TFP INVESTMENT COUNSEL CORP. Portfolio Manager>16940
THE CATALYST CAPITAL GROUP INC. Portfolio Manager>25600
THE MURRAY WEALTH GROUP INC. Exempt Market Dealer>50380
THE MURRAY WEALTH GROUP INC. Investment Fund Manager>50380
THE MURRAY WEALTH GROUP INC. Portfolio Manager>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
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
TIDEFALL CAPITAL MANAGEMENT INC. Investment Fund Manager>65100
TIDEFALL CAPITAL MANAGEMENT INC. Portfolio Manager>65100
TIDEFALL CAPITAL MANAGEMENT INC. Exempt Market Dealer>65100
TIMBERCREEK INVESTMENT MANAGEMENT INC. Investment Fund Manager>28370
TIMBERCREEK INVESTMENT MANAGEMENT INC. Portfolio Manager>28370
TIMBERCREEK INVESTMENT MANAGEMENT INC. Exempt Market Dealer>28370
TIMELO INVESTMENT MANAGEMENT INC. Exempt Market Dealer>37210
TIMELO INVESTMENT MANAGEMENT INC. Investment Fund Manager>37210
TIMELO INVESTMENT MANAGEMENT INC. Portfolio Manager>37210
TK DALE WEALTH MANAGEMENT INC. Portfolio Manager>62960
TOBAM S.A.S. Restricted Portfolio Manager>39190
77
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
TOKENGX INC. Exempt Market Dealer>63780
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
TRADELOGIQ MARKETS INC. Investment Dealer>28310
TRADEX MANAGEMENT INC. / GESTION TRADEX INC. Investment Fund Manager>3670
TRADEX MANAGEMENT INC. / GESTION TRADEX INC. Mutual Fund Dealer>3670
TRALUCENT ASSET MANAGEMENT INC. Portfolio Manager>27890
TRALUCENT ASSET MANAGEMENT INC. Exempt Market Dealer>27890
TRALUCENT ASSET MANAGEMENT INC. Investment Fund Manager>27890
TRANS-CANADA CAPITAL INC. Exempt Market Dealer>62050
TRANS-CANADA CAPITAL INC. Commodity Trading Manager>62050
TRANS-CANADA CAPITAL INC. Investment Fund Manager>62050
TRANS-CANADA CAPITAL INC. Portfolio Manager>62050
TRANSITION FINANCIAL ADVISORS GROUP, INC. Portfolio Manager>30590
TRAYNOR RIDGE CAPITAL INC. Investment Fund Manager>66660
TRAYNOR RIDGE CAPITAL INC. Portfolio Manager>66660
TRAYNOR RIDGE CAPITAL INC. Exempt Market Dealer>66660
TREEGROVE INVESTMENT MANAGEMENT INC. Portfolio Manager>62300
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
TRIDELTA INVESTMENT COUNSEL INC. Portfolio Manager>37940
TRIDELTA INVESTMENT COUNSEL INC. Exempt Market Dealer>37940
TRIUMPH ASSET MANAGEMENT INC. Portfolio Manager>18830
TRIUMPH ASSET MANAGEMENT INC. Exempt Market Dealer>18830
TRIUMPH ASSET MANAGEMENT INC. Investment Fund Manager>18830
TUDOR, PICKERING, HOLT & CO. SECURITIES - CANADA, ULC Investment Dealer>57570
TULETT, MATTHEWS & ASSOC. INC. Portfolio Manager>20100
TULLETT PREBON CANADA LIMITED Exempt Market Dealer>20410
78
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
TURN8 PARTNERS INC. / TURN8 ASSOCIES INC. Portfolio Manager>40490
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
TUTUILA ASSET MANAGEMENT INC. Investment Fund Manager>34140
TUTUILA ASSET MANAGEMENT INC. Portfolio Manager>34140
TUTUILA ASSET MANAGEMENT INC. Exempt Market Dealer>34140
TWMG INC. Mutual Fund Dealer>41630
TYCHE GLOBAL FINANCIAL INC. Exempt Market Dealer>59670
79
List of Ontario Registrants as of November 1, 2020
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
ULLMAN WEALTH MANAGEMENT INC. Portfolio Manager>57720
ULLMAN WEALTH MANAGEMENT INC. Exempt Market Dealer>57720
ULLMAN WEALTH MANAGEMENT INC. Investment Fund Manager>57720
UMC FINANCIAL MANAGEMENT INC. Restricted Portfolio Manager>32690
UMC FINANCIAL MANAGEMENT INC. Exempt Market Dealer>32690
UNBIASED PORTFOLIO MANAGEMENT INC. Portfolio Manager>14150
UNIGESTION ASSET MANAGEMENT (CANADA) INC./GESTION DE PLACEMENTS UNIGESTION (CANADA) INC.
Exempt Market Dealer>47780
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
UNIVERSITY OF TORONTO ASSET MANAGEMENT CORPORATION Portfolio Manager>16840
80
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
VALEURS MOBILIERES BANQUE LAURENTIENNE INC. / LAURENTIAN BANK SECURITIES INC.
Investment Dealer>410
VALUE PARTNERS INVESTMENTS INC. Exempt Market Dealer>34590
VALUE PARTNERS INVESTMENTS INC. Portfolio Manager>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
VALUETREND WEALTH MANAGEMENT INC. Portfolio Manager>59450
VAN BERKOM AND ASSOCIATES INC. Portfolio Manager>3800
VAN DEN BERG MANAGEMENT I, INC Portfolio Manager>57920
VANCITY INVESTMENT MANAGEMENT LIMITED / GESTION D'INVESTISSEMENTS VANCITY
Investment Fund Manager>14950
VANCITY INVESTMENT MANAGEMENT LIMITED / GESTION D'INVESTISSEMENTS VANCITY
Exempt Market Dealer>14950
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 EXEMPT MARKET SERVICES INC. Exempt Market Dealer>55860
VECTORGLOBAL INVESTMENT ADVISORY GROUP CANADA ULC Portfolio Manager>62700
VELOCITY TRADE CAPITAL LTD. Futures Commission Merchant>21850
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
81
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
VERITION ADVISORS (CANADA) ULC Portfolio Manager>32880
VERITY INVESTMENT COUNSEL INC. Portfolio Manager>14680
VERTEX ONE ASSET MANAGEMENT INC. Investment Fund Manager>14520
VERTEX ONE ASSET MANAGEMENT INC. Portfolio Manager>14520
VERTEX ONE ASSET MANAGEMENT INC. Exempt Market Dealer>14520
VERUS ADVISORY, INC. Commodity Trading Manager>47000
VERUS ADVISORY, INC. Portfolio Manager>47000
VESTA WEALTH PARTNERS LTD. Portfolio Manager>50360
VESTA WEALTH PARTNERS LTD. Investment Fund Manager>50360
VESTA WEALTH PARTNERS LTD. Exempt Market Dealer>50360
VESTCAP INVESTMENT MANAGEMENT INC. Portfolio Manager>3770
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
VIRTU FINANCIAL CANADA ULC Investment Dealer>57340
VIRTU ITG CANADA CORP. Futures Commission Merchant>9780
VIRTU ITG CANADA CORP. Investment Dealer>9780
VIRTUS CAPITAL MANAGEMENT INC. Exempt Market Dealer>46930
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. Investment Fund Manager>52650
VIVID CAPITAL MANAGEMENT INC. Portfolio Manager>52650
VIVID CAPITAL MANAGEMENT INC. Exempt Market Dealer>52650
VL ADVISORS INC. Investment Fund Manager>22210
VL ADVISORS INC. Portfolio Manager>22210
VULCAN ASSET MANAGEMENT CORPORATION Portfolio Manager>47400
VWK CAPITAL MANAGEMENT INC. Investment Fund Manager>28170
VWK CAPITAL MANAGEMENT INC. Portfolio Manager>28170
VWK CAPITAL MANAGEMENT INC. Exempt Market Dealer>28170
82
List of Ontario Registrants as of November 1, 2020
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
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
WAVEFRONT GLOBAL ASSET MANAGEMENT CORP. Investment Fund Manager>15860
WAVEFRONT GLOBAL ASSET MANAGEMENT CORP. Portfolio Manager>15860
WAVEFRONT GLOBAL ASSET MANAGEMENT CORP. Commodity Trading Manager>15860
WAVEFRONT GLOBAL ASSET MANAGEMENT CORP. Exempt Market Dealer>15860
WAVERLEY CORPORATE FINANCIAL SERVICES LTD. Exempt Market Dealer>40620
WAYPOINT INVESTMENT PARTNERS INC. Investment Fund Manager>52860
WAYPOINT INVESTMENT PARTNERS INC. Portfolio Manager>52860
WAYPOINT INVESTMENT PARTNERS INC. Exempt Market Dealer>52860
WD CAPITAL MARKETS INC. Exempt Market Dealer>27070
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 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. Investment Fund Manager>34530
WEALTHCO ASSET MANAGEMENT INC. Portfolio Manager>34530
WEALTHCO ASSET MANAGEMENT INC. Exempt Market Dealer>34530
WEALTHFORCE INC. Mutual Fund Dealer>63040
WEALTHSIMPLE ADVISOR SERVICES INC. Mutual Fund Dealer>61510
WEALTHSIMPLE DIGITAL ASSETS INC. Restricted Dealer>69330
WEALTHSIMPLE INC. Portfolio Manager>47940
WELLINGTON MANAGEMENT CANADA ULC Commodity Trading Manager>61790
83
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
WELLINGTON MANAGEMENT CANADA ULC Portfolio Manager>61790
WELLINGTON MANAGEMENT CANADA ULC Exempt Market Dealer>61790
WELLINGTON SQUARE ADVISORS INC. Portfolio Manager>66460
WELLINGTON SQUARE CAPITAL PARTNERS INC. Portfolio Manager>66450
WELLINGTON-ALTUS PRIVATE COUNSEL INC. Investment Fund Manager>30290
WELLINGTON-ALTUS PRIVATE COUNSEL INC. Portfolio Manager>30290
WELLINGTON-ALTUS PRIVATE WEALTH INC. Investment Dealer>5960
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
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
WESTFIELD PARTNERS LTD. Exempt Market Dealer>66030
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
WHITE CRANE CAPITAL CORP. Investment Fund Manager>59580
WHITE CRANE CAPITAL CORP. Exempt Market Dealer>59580
WHITEHAVEN ASSET MANAGEMENT INC./GESTION D'ACTIFS WHITEHAVEN INC.
Investment Fund Manager>57930
WHITEHAVEN ASSET MANAGEMENT INC./GESTION D'ACTIFS WHITEHAVEN INC.
Portfolio Manager>57930
WHITEHAVEN SECURITIES INC. / VALEURS MOBILIERES WHITEHAVEN INC.
Exempt Market Dealer>46540
WHITEHORSE LIQUIDITY PARTNERS INC. Exempt Market Dealer>55680
WHITEHORSE LIQUIDITY PARTNERS INC. Portfolio Manager>55680
WICKHAM INVESTMENT COUNSEL INC. Portfolio Manager>9850
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
84
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
WINGATE INVESTMENT MANAGEMENT LTD Exempt Market Dealer>10240
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
85
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
XFO PRIVATE ASSET SOLUTIONS LP Investment Fund Manager>66600
XFO PRIVATE ASSET SOLUTIONS LP Portfolio Manager>66600
XFO PRIVATE ASSET SOLUTIONS LP Exempt Market Dealer>66600
XIB ASSET MANAGEMENT INC. Investment Fund Manager>56050
XIB ASSET MANAGEMENT INC. Portfolio Manager>56050
XIB ASSET MANAGEMENT INC. Exempt Market Dealer>56050
86
List of Ontario Registrants as of November 1, 2020
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. Investment Fund Manager>35870
YTM CAPITAL ASSET MANAGEMENT LTD. Portfolio Manager>35870
YTM CAPITAL ASSET MANAGEMENT LTD. Exempt Market Dealer>35870
87
List of Ontario Registrants as of November 1, 2020
Registration CategoryNRD NumberRegistrant Name
ZED FINANCIAL PARTNERS Exempt Market Dealer>12560
ZELOS CAPITAL LTD. Investment Fund Manager>56580
ZELOS CAPITAL LTD. Portfolio Manager>56580
ZELOS CAPITAL LTD. Exempt Market Dealer>56580
ZLC WEALTH INC. Exempt Market Dealer>14620
ZLC WEALTH INC. Portfolio Manager>14620
88