Experience

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  Canaccord Genuity Wealth Management (Canada)

  • Calgary, Alberta, Canada

  • Wealth Management Advisor

    • May 2016 - Present
    • Calgary, Alberta, Canada

    My responsibilities include wealth management, insurance , financial planning and overall investment advice. I have my Discretionary Portfolio Managers designation. I also have my options license. On the education front I have a BComm honors degree in Finance and my CPA designation. I was insurance licensed for many years but gave it up as our in house insurance specialists can do a better job.As mentioned in my profile I am a big public company supporter. I am more of an old school advisor with more individual bonds and shares than mutual funds. Cost is an important component of the returns and I am more of a buy and hold type advisor. Client's do need honest advice and do better with a trusted partner to discuss things with. Our office has two full time planners and our firm has international research and access to firms which are raising money. From small cap to big cap.Canaccord offers everything to compete with bigger firms. Our SMA program offers high net worth managed money option. We can deal internationally much better than other firms. Our independence is an advantage. I do cash management by buying no load mutuals on a monthly basis and do email updates on the market regularly. I also send out a quarterly rate of return report to clients with comments. Canaccord also has great research for companies all over the world. Our operations international are bigger than our Canadian business.

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  ScotiaMcLeod

  • Calgary, Alberta, Canada

  • Senior Wealth Advisor

    • Apr 2001 - Apr 2016
    • Calgary, Alberta, Canada

    Financial advisor. Completed the 12 weeks advisor program along with my Canadian Options and Futures Course and Personal Financial Planners course. I also took my insurance license course. Plus the myriad of required courses yearly that our industry requires. I worked there over 14 years,

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  Solium Capital Inc.

  • Calgary, Alberta, Canada

  • Chief Financial Officer or CFO

    • Feb 2000 - Dec 2000
    • Calgary, Alberta, Canada

    My responsibilities were in both the compliance and financial fields. I was the founding CFO. During my time I completed the application to the Investment Dealers Association now called IROC by writing up the operation and compliance procedures. We also raised the special warrant offering we needed to fulfill the IROC capital requirements. Solium was later acquired by a US Bank.

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  Alberta Stock Exchange

  • Calgary, Alberta, Canada

  • Vice President of Market Surveillance and Corporate Reporting

    • Jun 1986 - Jan 2000
    • Calgary, Alberta, Canada

    I was charge of the floor/automated trading, company surveillance, corporate reporting , broker investigations and the sale of exchange data for the Alberta Stock Exchange(ASE). During my time we had trading increase from 700 trades per day to some days of 45,000 trades per day, Total listing increased dramatically and my department developed a robust surveillance system on public disclosure, director reviews, financial reviews and trading reviews.We automated trading and closed the trade floor with the support of the traders. I chaired the Floor Procedure Committee with our Chairman of the ASE and representatives of our industry. I also worked with other regulators as part of a Inter-Market surveillance group with the SEC, RCMP, Calgary Police Department, TSX, VSE, ME, Nasdaq, NYSE, etc and all provincial securities commissions. I also testified in court and on the phone in many cases. I am most proud of my time there and the team we had.Our Trade system was called the ATES and was later sold around to world to 28 countries. My Dept did some training and worked very closely with the IT consultants and our own staff to institute the changes.The Cdn junior exchanges were merged together and were later acquired by the TMX group. I opted to change careers and go to the dark side as an advisor,

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  RBC Dominion Securities

  • Calgary, Alberta, Canada

  • Compliance and Client Accounting

    • Jan 1981 - Jun 1986
    • Calgary, Alberta, Canada

    I worked in the operations and client accounting area in both Winnipeg and Calgary. DS transferred me to Calgary. It was my first industry job and gave my a good grounding in the brokerage business. I was involved in all aspects of what we call the back office. My role was the senior credit person in Calgary directly reporting to our Western Vice President. I did special projects in western Canada like managing the Canada Savings Bond Campaign. Back then we had to manually calculate option strategy margin requirements. When I joined we were still a private company . I experienced several mergers with them and we were later acquired by Royal Bank