Alan started his career with RBC Dominion Securities in 1997 and has been an Investment Advisor since 2013. He maintains a high professional standard in wealth management, portfolio management, financial planning, and insurance. This enables Alan to deliver the wealth strategies that meet the needs of his clients.
Accreditation
- Designated and approved by the Investment Industry Regulatory Organization of Canada (IIROC) as a Registered Representative for the purpose of managing the investment portfolio of clients
- Registered with the Canadian Securities Administrators in Alberta, British Columbia, Manitoba, and Ontario
- Authorized to act in Manitoba as a Life Insurance and Accident & Sickness Insurance Agent by the Insurance Council of Manitoba.
RBC Dominion Securities Employment History
- Investment & Wealth Advisor, 2015
- Investment Advisor, 2013
- Associate Advisor, 2004
- Associate, 1997
Industry Courses
- Life License Qualification Program (LLQP), 2014
- Canadian Insurance Course, 2014
- Derivatives Fundamentals Course, 2006
- Financial Management Advisor Designation, 2005
- Wealth Management Techniques Course, 2005
- Professional Financial Planning Course, 2004
- Conduct and Practices Handbook Course, 1997
- Canadian Securities Course, 1997
Continuing Education
- IIROC requires 10 Compliance credits and 20 Product Development credits every 2 years
- Insurance Council of Manitoba requires 15 Continuing Education Credit Hours per year
- RBC Code of Conduct Learning Program, annual requirement
- Anti-Money Laundering and Anti-Terrorist Financing Program, annual requirement
- Anti-Bribery and Anti-Corruption Program, annual requirement
- Fundamentals of Privacy and Security Program, every 2 years
- Operational Risk Management Program, every 2 years
Awards
- A past recipient of the Dominion Securities Award of Excellence for the Prairies area. This award celebrates and rewards those who make a truly special contribution in their role and create an exceptional client experience.
Education
- Honours degree of Bachelor of Arts with majors in History and Political Science, University of Winnipeg
Favourite Charities
- United Way of Winnipeg
- Médecins Sans Frontières/Doctors Without Borders
- CancerCare Manitoba
- UNICEF Canada
