Securities Registry

Registered Firms

The following is a list of Registered Dealer or Adviser Firms in the Northwest Territories. (List updated – February 2, 2007)

AGF Funds Inc.
Investment Counsel/Portfolio Manager

Aim Mutual Fund Dealer Inc.
Mutual Fund Dealer

Altamira Financial Services Ltd.
Mutual Fund Dealer

Assante Capital Management Ltd.
Investment Dealer

Assante Financial Management Ltd.
Mutual Fund Dealer

Aurion Capital Management Inc. Investment Counsel/Portfolio Manager

BMO Harris Investment Management Inc. Investment Counsel/Portfolio Manager

BMO Investments Inc.
Mutual Fund Dealer

BMO InvestorLine Inc. Investment Dealer

BMO Nesbitt Burns Inc. Investment Dealer

Bank of Ireland Asset Management (U.S.) Limited
Investment Counsel/Portfolio Manager

Barclays Global Investors Canada Limited
Investment Counsel/Portfolio Manager

Berkshire Investment Group Inc.
(formerly TWC Financial Corp.)
Mutual Fund Dealer

Berkshire Securities Inc. Investment Dealer

Beutel, Goodman & Company Ltd. Investment Counsel/Portfolio Manager

Blackmont Capital Inc. (formerly First Associates Investments Inc.)
Investment Dealer

CIBC Global Asset Management Inc. (formerly TAL Global Asset Management Inc. – Name Change eff Dec.19.05)Investment Counsel/Portfolio Manager

CIBC Investor Services Inc. Investment Dealer

CIBC Private Investment Counsel Inc.
(formerly TAL Private Management Ltd.) Investment Counsel/Portfolio Manager

CIBC Securities Inc. Mutual Fund Dealer

CIBC World Markets Inc. Investment Dealer

C.S.T. Consultants Inc. Scholarship Plan Dealer

Canaccord Capital Corporation
Investment Dealer

Canadian Shareowner Investments Inc.
Investment Dealer

CanDeal.ca Inc. Investment Dealer

Cardinal Capital Management, Inc.
Investment Counsel/Portfolio Manager

Children’s Education Funds Inc.
(formerly Education Fund Services Inc.) Scholarship Plan Dealer

Clarica Investco Inc. Mutual Fund Dealer

Connor, Clark & Lunn Investment Management Ltd. Investment Counsel/Portfolio Manager

Credit Suisse Securities (Canada), Inc. (formerly Credit Suisse First Boston Canada Inc.)
Investment Dealer

Cypress Capital Management Ltd.
Investment Counsel/Portfolio Manager

Desjardins Securities Inc. Investment Dealer

Dundee Private Investors Inc.
Mutual Fund Dealer

Dundee Securities Corporation Investment Dealer

Edward Jones Investment Dealer

FTC Investor Services Inc. Mutual Fund Dealer

Fidelity Investments Canada Limited Mutual Fund Dealer & Investment Counsel/Portfolio Manager

Fidelity Retirement Services Company of Canada Limited
Mutual Fund Dealer

Fiera YMG Capital Inc. Investment Counsel/Portfolio Manager

Foyston, Gordon & Payne Inc.
Investment Counsel/Portfolio Manager

Friedberg Mercantile Group Ltd.
(formerly Friedberg Mercantile Group)
Investment Dealer

FundEX Investments Inc. Mutual Fund Dealer

GE Asset Management Canada Company Investment Counsel/Portfolio Manager

GMP Private Client L.P. Investment Dealer

GRS Securities Inc.
(formerly Canada Life Securities Inc.)
Investment Dealer

Global Securities Corporation Investment Dealer

Gluskin, Sheff + Associates Inc. Investment Counsel/Portfolio Manager & Mutual Fund Dealer

HSBC Securities (Canada) Inc.
Investment Dealer

Haywood Securities Inc. Investment Dealer

Heritage Education Funds Inc.
(Formerly Allianz Education Funds, Inc.)
Scholarship Plan Dealer

Highstreet Asset Management Inc. Investment Counsel/Portfolio Manager

Howson Tattersall Investment Counsel Limited (formerly Lancet Asset Management Inc.)
Investment Counsel/Portfolio Manager

Howson Tattersall Private Asset Management Inc. Investment Counsel/Portfolio Manager

Hub Capital Inc. (formerly Sun Life Financial Advisory Services Inc.)
Mutual Fund Dealer

IPC Investment Corporation Mutual Fund Dealer

IQON Financial Inc.
Mutual Fund Dealer

Industrial Alliance Securities Inc. Investment Dealer

Investors Group Financial Services Inc./Services Financiers Groupe Investors Inc.
Mutual Fund Dealer

Investors Group Securities Inc. Investment Dealer

JPMorgan Asset Management (Canada) Inc.
(formerly J.P. Morgan Fleming Asset Management (Canada) Inc.) Investment Counsel/Portfolio Manager

Jarislowsky, Fraser Limited Investment Counsel/Portfolio Manager

Jones Heward Investment Counsel Inc. Investment Counsel/Portfolio Manager

Lincluden Management Limited Investment Counsel/Portfolio Manager

MD Management Limited
Investment Dealer

MD Private Investment Management Inc.
Investment Counsel/Portfolio Manager

M.R.S. Inc.
(formerly Multiple Retirement Services Inc.)
Mutual Fund Dealer

M.R.S. Securities Services Inc. Investment Dealer

MacDougall, MacDougall & Mactier Inc. Investment Dealer

Man Financial Canada Co. Investment Dealer
(name change from Refco Futures (Canada) Ltd. to Refco Canada Co.)
(name change from Refco Canada Co. to Man Financial Canada Co.)

Manulife Securities International Ltd. Mutual Fund Dealer

McLean Budden Funds Inc.

Mutual Fund Dealer

McLean Budden Limited Investment Counsel/Portfolio Manager

Merrill Lynch Canada Inc. Investment Dealer

Mulvihill Capital Management Inc. Investment Counsel/Portfolio Manager & Mutual Fund Dealer

NBCN Inc.
(formerly NBCN Clearing Inc.)
Investment Dealer

Natcan Investment Management Inc. Investment Counsel/Portfolio Manager

National Bank Financial Inc. Investment Dealer

National Bank Financial Ltd. Investment Dealer

National Bank Securities Inc. Mutual Fund Dealer

Northern Securities Inc. Investment Dealer

Odlum Brown Limited Investment Dealer

Open Access Limited Investment Counsel/Portfolio Manager

Orion Securities Inc. (formerly Yorkton Securities Inc.)
Investment Dealer

PFSL Investments Canada Ltd.
Mutual Fund Dealer

Pacific International Securities Inc. Investment Dealer

Partners in Planning Financial Services Ltd.
Mutual Funds

Penson Financial Services Canada Inc. Investment Dealer

Phillips, Hager & North Investment Funds Ltd. Mutual Fund Dealer

Phillips, Hager & North Investment Management Limited Partnership Portfolio Manager

Phillips, Hager & North Investment Management Ltd. Investment Counsel/Portfolio Manager

Professional Investment Services (Canada) Inc.
Mutual Fund Dealer

Quadrus Investment Services Ltd. Mutual Fund Dealer

Questrade, Inc. Investment Dealer

Qwest Energy Fund Management Ltd.
Portfolio Manager

RBC Asset Management Inc. (formerly RBC Global Investment Management Inc.)
Investment Counsel/Portfolio Manager

RBC Direct Investing Inc.
Investment Dealer

RBC Dominion Securities Inc. Investment Dealer

RBC Private Counsel Inc.
Investment Counsel/Portfolio Manager

Raymond James Ltd. Investment Dealer

Retire First Ltd.
Investment Dealer

Royal Mutual Funds Inc. Mutual Fund Dealer

Scotia Capital Inc. Investment Dealer

Scotia Securities Inc. Mutual Fund Dealer

Sky Investment Counsel Inc.
Investment Counsel/Portfolio Manager

Standard Life Investments Inc. Investment Counsel/Portfolio Manager

TD Asset Management Inc. Investment Counsel/Portfolio Manager

TD Investment Services Inc. Mutual Fund Dealer

TD Securities Inc. Investment Dealer

TD Waterhouse Canada Inc. Investment Dealer

TD Waterhouse Private Investment Counsel Inc.
Investment Counsel/Portfolio Manager

UBS Global Asset Management (Canada) Co. Investment Counsel/Portfolio Manager

USC Education Savings Plans Inc.
(formerly Scholarship Consultants of North America Ltd.)
Scholarship Plan Dealer

Union Securities Ltd. Investment Dealer

United Financial Corporation (formerly Assante Asset Management Ltd.)
Investment Counsel/Portfolio Manager

Wellington West Capital Inc. Investment Dealer

Wolverton Securities Ltd. Investment Dealer

Worldsource Financial Management Inc. Mutual Fund Dealer

For further information contact:

Northwest Territories Securities Registry
Department of Justice
1st Floor, Stuart M. Hodgson Building
5009 – 49th Street
P.O. BOX 1320
YELLOWKNIFE NT X1A 2L9

Telephone: (867) 920-3318
Fax: (867) 873-0243