Darcy doherty scotia capital

D’Arcy Capital is a fee-only registered investment advisory (RIA) firm and institutional money manager. We offer comprehensive money management and financial planning services for private investors, as well as global large cap value and bond management strategies for institutional clients.

D’Arcy Capital is a fee-only registered investment advisory (RIA) firm and institutional money manager. We offer comprehensive money management and financial planning services for private investors, as well as global large cap value and bond management strategies for institutional clients.

Mr. Tim J. Doherty is an Analyst at Credit Agricole Securities (USA), Inc.Prior to joining Credit Suisse in June 2010, Mr. Doherty was with Piper Jaffray having worked at Bear Stearns and Morgan Stanley. Before that, he was with KDP Investment Advisors, Scotia Capital and Banc of America.Mr. Doherty holds a BA from Boston College. Re Scotia Capital 2015 IIROC 27 Page 2 of 9 amalgamated with the Respondent, failed to establish and maintain a system of controls and supervision that was adequate to ensure that certain clients were qualified to purchase investment funds offered Scotia Capital Inc. and Scotia Capital (USA) Inc. may use such personal information and usage information to verify compliance with these Terms of Access, and may suspend or terminate access to all or any portion of the service if such personal information is considered to be inaccurate, not current, or incomplete.

When discussing life insurance products, ScotiaMcLeod advisors are acting as Life Insurance Agents (Financial Security Advisors in Quebec) representing Scotia Wealth Insurance Services Inc. Scotia Capital Inc. is a member of the Canadian Investor Protection Fund and the Investment Industry Regulatory Organization of Canada. Re Scotia Capital 2013 IIROC 38 Page 2 of 19 “Between June 2009 and November 2011, it failed to have adequate policies and procedures in place or failed to implement those policies and procedures to prevent and detect potential wash