I wanted to address the technical side of our business from a regulatory perspective so you can feel confident and comfortable before moving forward with starting a business relationship with our team.
Safekeeping of Your Assets
Client assets are held by an independent custodian, National Bank Independent Network (NBIN), a wholly-owned subsidiary of the National Bank Financial Inc. This means no one at Precedence Capital ever has personal access to your cash or investments.
WHAT IS THE RELATIONSHIP BETWEEN PRECEDENCE PRIVATE WEALTH & CAPITAL?
Precedence Private Wealth is a full-service financial planning firm specializing in tax advisory, financial planning, mortgages and financing, insurance and estate planning.
Precedence Private Wealth is registered through the provincial insurance councils and the Financial Planning Council. It does not conduct any securities-related business and refers all investment management to Precedence Capital and Harbourfront Wealth Management.
Precedence Capital - Harbourfront Wealth Management is registered to sell equity securities, bonds, mutual funds, GICs and other securities that are subject to available regulatory exemptions. Harbourfront is a member of the Investment Industry Organization of Canada (IIROC) with investment advisors licensed in Ontario, Manitoba, Saskatchewan, Alberta and British Columbia and Quebec. Harbourfront is also a member of the Canadian Investor Protection Fund (CIPF). It does not provide insurance-related products or financial planning services to its clients and refers to all clients for this respective advice to Precedence Private Wealth.
Todd is registered with the Investment Industry Regulatory Organization of Canada (IIROC), our securities regulator in Canada, under Harbourfront Wealth Management. Below is a "Know Your Advisor" link provided by IIROC, in which registrants are listed as well as their compliance history and disciplinary actions if any are present.
Please also find below a link to the Canadian Investor Protection Fund (CIPF) website outlining the insurance coverage for IIROC regulated firms.
The link below illustrates that Harbourfront Wealth Management is currently registered as an IIROC Dealer Member and a member of CIPF.