List of IIROC Dealer Members by Peer Group September 2020 1 INTEGRATED 3 RETAIL ‐ TYPE 1 & 2 INTRODUCERS 5 ORDER EXECUTION ONLY BMO Nesbitt Burns Inc.* Argosy Securities Inc. (formerly Discount Brokers) CIBC World Markets Inc. * Brant Securities Limited AGF Securities (Canada) Limited National Bank Financial Inc.* Chippingham Financial Group BBS Securities Inc.* RBC Dominion Securities Inc.* Creation Wealth Capital Inc. BMO InvestorLine Inc. Scotia Capital Inc.* Echelon Wealth Partners Inc.* Canadian ShareOwner Investments Inc. TD Securities Inc.* Foster & Associates Financial Services Inc. CMC Markets Canada Inc. TD Waterhouse Canada Inc. GF Securities (Canada) Company Limited Fortification Capital inc. Hampton Securities Limited* Fortrade Canada Limited 2 RETAIL Harbourfront Wealth Management Inc. GAIN Capital ‐ FOREX.com Canada Ltd. Aligned Capital Partners Inc. Integral Wealth Securities Limited* Interactive Brokers Canada Inc.* Arton Investments Kernaghan & Partners Ltd. OANDA (Canada) Corporation ULC Assante Capital Management Ltd.* Lakeshore Securities Inc. OTT Financial Canada Inc. ATB Securities Inc. Mandeville Private Client Inc. Questrade, Inc.* AURAY Capital Canada inc. Mawer Direct Investing Ltd. RBC Direct Investing Inc. B2B Bank Securities Services Inc. Nour Private Wealth Inc. Solium Financial Inc. Canaccord Genuity Corp.* OMG Wealth Management Inc. CIBC Investor Services Inc. OmniVita Custom Wealth Management Inc. 6 INSTITUTIONAL CJ Securities Inc. Perry Securities Ltd. Acumen Capital Finance Partners Limited* Credential Qtrade Securities Inc.* Pollitt & Co. Inc.* ATB Capital Markets Inc.* Desjardins Securities Inc.* Queensbury Securities Inc. Barclays Capital Canada Inc.* Edward Jones* Regent Capital Partners Inc. Beacon Securities Limited* Fidelity Clearing Canada ULC* Retire First Ltd. Bloomberg Tradebook Canada Company (Inactive) FIN‐XO Securities Inc. RGF Wealth Management Ltd. BNP Paribas (Canada) Valeurs mobilières inc. Friedberg Mercantile Group Ltd.* Richardson GMP Limited Cantor Fitzgerald Canada Corporation* Gravitas Securities Inc.* Rothenberg Capital Management Inc. Casgrain & Company Limited Haywood Securities Inc.* Secutor Capital Management Corporation Citigroup Global Markets Canada Inc.* Highgate Group Inc. Sightline Wealth Management LP Clarus Securities Inc.* Industrielle Alliance Valeurs mobilières inc. * Sprott Capital Partners LP Cormark Securities Inc.* INTL FCStone Financial (Canada) Inc. StephenAvenue Securities Inc. Credit Suisse Securities (Canada), Inc.* Investors Group Securities Inc. Wellington‐Altus Private Wealth Inc.* CTI Capital Securities Inc. IPC Securities Corporation Deutsche Bank Securities Limited JitneyTrade Inc. 4 MANAGED ACCOUNTS Eight Capital* Laurentian Bank Securities Inc.* Acker Finley Inc.* Goldman Sachs Canada Inc.* Leede Jones Gable Inc.* Caldwell Securities Ltd.* HSBC Securities (Canada) Inc.* Mackie Research Capital Corporation* Cumberland Private Wealth Management Inc. Instinet Canada Limited * Manulife Securities Incorporated* CWB McLean & Partners Wealth Management Ltd. J.P. Morgan Securities Canada Inc.* MD Management Limited Dubeau Capital & Cie Ltée Jefferies Securities, Inc. Odlum Brown Limited* Generation IACP Inc.* JonesTrading Canada Inc.* PEAK Securities Inc. Goodwood Inc. Macquarie Capital Markets Canada Ltd.* PI Financial Corp.* JC Clark Ltd. Merrill Lynch Canada Inc.* R.J. O'Brien & Associates Canada Inc. K.J. Harrison & Partners Inc. Morgan Stanley Canada Limited* Raymond James Ltd.* Kingwest & Company* MUFG Securities (Canada), Ltd. Renaissance Capital Inc. Mirabaud Canada Inc. Paradigm Capital Inc.* Services Financiers International Leduc inc. Professionals’ Financial ‐ Private Management Inc. Pavilion Global Markets Ltd.* Sherbrooke Street Capital (SSC) Inc. PWL Capital Inc. Pershing Securities Canada Limited* Stuart Investment Management Limited Sandstone Asset Management Inc. Peters & Co. Limited* Worldsource Securities Inc. Watt Carmichael Inc. Pictet Canada L.P.* [1] List of IIROC Dealer Members by Peer Group (Cont'd) September 2020 6 INSTITUTIONAL (cont'd) 7 CORPORATE FINANCE 8 ALTERNATIVE TRADING SYSTEMS (ATS) RF Securities Clearing LP* BFIN Securities LP CanDeal.ca. Inc. Roth Canada, ULC Bloom Burton Securities Inc. EquiLend Canada Corp. Sanford C. Bernstein (Canada) Limited Emerging Equities Inc.* Instinet Canada Cross Limited Société Générale Capital Canada Inc.* INFOR Financial Inc.* Liquidnet Canada Inc.* State Street Global Markets Canada Inc.* Lightyear Capital Inc.* MarketAxess Canada Company Stifel Nicolaus Canada Inc.* M Partners Inc.* Perimeter Markets Inc. Tudor, Pickering, Holt & Co. Securities ‐ Canada, ULC Maison Placements Canada Inc.* Tradelogiq Markets Inc. UBS Securities Canada Inc.* Middlefield Capital Corporation TriAct Canada Marketplace LP Velocity Trade Capital Ltd.* Mizuho Securities Canada Inc. Virtu ITG Canada Corp.* Rabo Securities Canada, Inc. 9 PROPRIETARY TRADING/OTHER Wells Fargo Securities Canada, Ltd. Red Cloud Securities Inc. Citadel Securities Canada ULC* SMBC Nikko Securities Canada, Ltd. Independent Trading Group (ITG) Inc.* Virtu Financial Canada, ULC* W.D. Latimer Co. Limited* LEGEND: 1 INTEGRATED National firm engaged in proprietary trading, retail and institutional business, corporate finance and research activities 2 RETAIL Predominately servicing individual retail clients 3 RETAIL - TYPE 1 & 2 INTRODUCERS 4 MANAGED ACCOUNTS 5 ORDER EXECUTION ONLY (formerly Discount Brokers) 6 INSTITUTIONAL 7 CORPORATE FINANCE Predominately engaged in the distribution of securities and research 8 ALTERNATIVE TRADING SYSTEM (ATS) 9 PROPRIETARY TRADING / OTHER * PARTICIPANT * Participant: (a) a dealer registered in accordance with securities legislation of any jurisdiction and who is: (i) a member of an Exchange (ii) a user of a QTRS, or (iii) a subscriber of an ATS; or (b) a person who has been granted trading access to a marketplace and who performs the functions of a derivatives market maker. [2] .