Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
ALTACORP CAPITAL INC.
155053
ALTACORP CAPITAL (USA) INC.
155053
ALTACORP CAPITAL INC.
NONE
NONE
NONE
ALTACORP CAPITAL (USA) INC.
155053
NONE
NONE
ALTACORP CAPITAL (USA) INC.
155053
ALTACORP CAPITAL (USA) INC.
155053
ALTACORP CAPITAL INC.
NONE
ALTACORP CAPITAL (USA) INC.
155053
GMP SECURITIES, LLC
41025
ALTACORP CAPITAL (USA) INC.
155053
ALTACORP CAPITAL INC.
NONE
ALTACORP CAPITAL (USA) INC.
155053
MACKIE RESEARCH CAPITAL CORPORATION
NONE
ALTACORP CAPITAL (USA) INC.
155053
RAYMOND JAMES LTD.
NONE
ALTACORP CAPITAL (USA) INC.
155053
ECHELON WEALTH PARTNERS INC.
NONE
ALTACORP CAPITAL (USA) INC.
155053
PARADIGM CAPITAL INC.
NONE
HAYWOOD SECURITIES (USA)
42072
ALTACORP CAPITAL (USA) INC.
155053
NONE
NONE
ATB CAPITAL MARKETS USA INC.
155053
ATB CAPITAL MARKETS INC
155053
ALLIANCE GLOBAL PARTNERS
8361
ATB CAPITAL MARKETS USA INC.
155053
ATB CAPITAL MARKETS INC.
NONE
People
Name
MICHAEL G. THOMSON
RICHARD F MCHARDY
MICHELLE WIGGINS
ALBERT M STARK
FOTIS KALANTZIS
ED P WONG
BARRY MCNAMARA
MICHAEL STARK
DON ARCHIBALD
REG GREENSLADE
WADE BECKER
GRANT GREENSLADE
GORDON BOWERMAN
JAMES EVASKEVICH
ROBERT WEIR
NEIL MACKENZIE
TED MORTON
CHUCK CHARLTON
ALAN T PETTIE
ANIL K JAIN
DR. TRAJINDER NIBBER
PAUL ROUMELIOTIS
CARRIE YUILL
MIRIAM MITCHELL-BANKS
GREG PHANEUF
BARRY OLSON
DON SABO
JAMES MAHONEY
CHRIS SEASONS
DEAN BERNHARD
BRENTON ZETTL
JOHN KNOWLES
DONALD CHING
DOUG BANZET
ROB DUGUID
MARIANNE GREER
RICHARD HOYT
DWAYNE LASHYN
BRUCE MACKLER
BRANDON PRICE
GULWANT BAJWA
LARRY HOLBROOK
TREVOR FENCOTT
HARVEY A. SHAPIRO
NORMAN INKSTER
MIKE VIONCEK
GEORGE FRASER BRUCE SINCLAIR
DAVID ELSLEY
ELDON R. SMITH
CHRIS WADDICK
ANTHONY E. BOLTON
GUILLERMO TORRE-AMIONE
DEBORAH BROWN
PETER PEKOS
TERRY LYNCH
IAIN CHALMERS
MICHAEL JOHNSTON
SCOTT VAN RIXEL
JOSEPH DUGGAN
JAMES CACIOPPO
LOUIS JONATHAN BARACK
MICHELLE MOSIER
TODD WEST
TOBI LEBOWITZ
BENJAMIN CROSS
MARINA HAHN
STEPHEN MONROE
BILLY WAFFORD
LOUIS JON BARACK
LEONARDO GARCIA-BERG
JAMES CABRAL
NICHOLE LEE UPSHAW
PETER ALAN ADDERTON
BILL WAFFORD
RAJ GROVER
RAHIM KANJI
ANDY PALALAS
AMAN SOOD
GREG FLEURY
ONEKANEW CHRISTIAN SINCLAIR
NITIN KAUSHAL
ARTHUR KWAN
ANDREA ELLIOT
JOY AVZAR
OMAR KHAN
DARRYL BROOKER
TOM FLOW
MICHAEL GALEGO
NOEL BIDERMAN
MAURICE LEVESQUE
JOANNE LEE
DON DUET
VINCENT GASPARRO
JORG CIESLOK
JOHN CHOU
ALEXANDRE JALLEAU
JEFF DOBSLAW
BONNIE DONOVAN
ALVARO TORRES
JOEL FRIEDMAN
TEJINDER VIRK
DAVID HART
DEREK WATSON
DAVID SIROLLY
JESSE CHANNON
BRYAN OLSON
NICHOLAS VITA
MICHAEL ABBOTT
JEFF CLARKE
JULIE HILL
JAMES A.C. KENNEDY
JONATHAN P MAY
ROSEMARY MAZANET
FRANK SAVAGE
ALISON WORTHINGTON
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2024-08-15
D
$0.00
No
$870,400.00
No
2024-04-03
D
$554,000.00
No
$0.00
No
2022-12-22
D
$316,012.00
No
$0.00
No
2022-07-29
D
$442,659.00
No
$0.00
No
6% OF GROSS PROCEEDS.
2021-07-23
D
$0.00
No
$384,062.00
No
PLACEMENT FEE EQUAL TO CAD$490,000
2021-07-20
D
$692,110.00
No
$0.00
No
2019-03-06
D
$12,340.00
No
$0.00
No
2019-01-04
D
$219,736.00
No
$0.00
No
IN ADDITION TO CASH COMMISSION, THE AGENTS RECEIVED 59,307 BROKER WARRANTS EXERCISABLE AT C$5.00 FOR 12 MONTHS
2018-11-20
D
$184,087.00
Yes
$0.00
No
2018-03-29
D
$91,674.00
No
$0.00
No
ADVISORY FEE OF CDN $120,000
2017-01-30
D
$310,000.00
Yes
$0.00
No
THE FIGURE ESTIMATED FOR SALES COMMISSIONS IS 6% OF THE TOTAL AMOUNT SOLD IN ITEM 13.
2016-07-08
D
$1,000.00
Yes
$0.00
No
2015-06-03
D
$14,400.00
No
$0.00
No
AMOUNTS ARE IN CANADIAN DOLLARS.
2014-01-22
D
$743,104.00
No
$0.00
No
2013-12-20
D
$743,104.00
No
$0.00
No
2012-03-21
D
$2,875,092.00
No
$0.00
No
2011-08-22
D
$936,660.00
No
$0.00
No