NICOLA WEALTH MANAGEMENT LTD. of VANCOUVER is an SEC-registered investment adviser (CRD 173201). Regulatory assets under management: $11.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: Individuals, High net worth, Investment cos, Other.
Showing 25 of 32 people.
| Name | Role | Location |
|---|---|---|
| Vanessa Flockton | PRESIDENT, PRIVATE WEALTH AND DIRECTOR | Vancouver, A1 |
| John Michael Nicola | CHAIRMAN, CEO AND CHIEF INVESTMENT OFFICER.; EXECUTIVE CHAIR AND CHIEF INVESTMENT OFFICER.; TRUSTEE | — |
| David Bruce Sung | EXECUTIVE VICE CHAIR OF THE BOARD AND PRESIDENT OF INSTITUTIONAL | — |
| Jamie Susan Duncan | CHIEF OPERATIONS OFFICER AND DIRECTOR; DIRECTOR | — |
| Richard Chuen Chen | CHIEF COMPLIANCE OFFICER | — |
| Anne Marie Thomas | DIRECTOR | — |
| Thomas William Shepansky | DIRECTOR | — |
| Evelyn Claire Nicola | TRUSTEE | — |
| Carrie Elizabeth Russell | DIRECTOR | — |
| Christopher Michael Nicola | CHIEF EXECUTIVE OFFICER AND DIRECTOR; PRESIDENT AND DIRECTOR | — |
| David W Poster | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND DIRECTOR | — |
| Paul Francis Bruce Hollands | DIRECTOR | — |
| Yannick Jean-Francois Archambault | PRESIDENT, PRIVATE WEALTH | — |
| Abigail Coman-Walker | CHIEF OPERATING OFFICER | — |
| David Poster | CHIEF FINANCIAL OFFICER | — |
| MONTALBANO JOHN SALVATORE | DIRECTOR | — |
| PATEL BIJAL ARVIND | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND DIRECTOR; CHIEF FINANCIAL OFFICER, HEAD OF PRIVATE CAPITAL AND DIRECTOR (+1 more) | — |
| SKIPP DANIELLE EAN | CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER AND DIRECTOR; CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | — |
| SUNG DAVID BRUCE | EXECUTIVE VICE CHAIR OF THE BOARD AND PRESIDENT OF INSTITUTIONAL; PRESIDENT; PRESIDENT AND DIRECTOR (+2 more) | — |
| NICOLA JOHN MICHAEL | CEO, CIO, CHAIRMAN; CHAIRMAN, CEO AND CO-CHIEF INVESTMENT OFFICER; CHIEF EXECUTIVE OFFICER (+5 more) | — |
| DUNCAN JAMIE SUSAN | CHIEF OPERATIONS OFFICER; CHIEF OPERATIONS OFFICER AND DIRECTOR | — |
| MACDONALD DANNIELLE HELEN AGNES | CHIEF COMPLIANCE OFFICER | — |
| IKEDA KAREN NAOMI | DIRECTOR | — |
| NICOLA EVELYN CLAIRE | DIRECTOR; TRUSTEE | — |
| CROSBY WAYMAN GORDON | SHAREHOLDER: OWNS 100% OF CLASS A VOTING SHARES | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-01-19 | regulatory | THE FIRM HAD (WITH THE KNOWLEDGE AND PRIOR CONSENT OF THE CLIENT) CAUSED A MORTGAGE TO BE PURCHASED FROM THE ACCOUNT OF A CLIENT (RECORDED AS A MANAGED ACCOUNT BUT OPERATED ONLY WITH THE ONGOING CONSENTS OF THE CLIENT) BY ANOTHER MANAGED ACCOUNT (A PRIVATE POOLED FUND OF THE FIRM). THIS WAS DEEMED T… | Final | — |