# CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. of VANCOUVER, BC is an SEC-registered investment adviser.

## Registration

- CRD: 7449
- Type: SEC-registered investment adviser
- SEC file number: 801-106809
- Location: 1133 MELVILLE STREET, SUITE 1100, VANCOUVER, BC, V6E 4E5
- Phone: 604-643-7300
- Latest filing: 2026-06-30
- Regulatory AUM: $135.5M
- Discretionary AUM: $135.5M
- Clients: 32
- Accounts: 114

## Business model

- Compensation: % of AUM
- Clients served: High net worth

## Officers, owners & control persons (10)

| Name | Role | Location |
| --- | --- | --- |
| Donald Duncan Macfayden | CFO, FINANCIAL PRINCIPAL; OPERATIONS PRINCIPAL | — |
| Thomas William Jr Cox | PRESIDENT | — |
| Selim Begis | INTERIM CHIEF COMPLIANCE OFFICER | — |
| Andrew Foster Viles | CHIEF COMPLIANCE OFFICER | — |
| VILES ANDREW FOSTER | CHIEF COMPLIANCE OFFICER | — |
| DALY DIANE MOTTOLA | CHIEF COMPLIANCE OFFICER | — |
| MARANDA BRUCE JEFFREY | VP, CHIEF COMPLIANCE OFFICER | — |
| MACFAYDEN DONALD DUNCAN | CFO; CFO, FINANCIAL PRINCIPAL; OPERATIONS PRINCIPAL | — |
| VAN KOLL MARK JASON | VICE PRESIDENT, COMPLIANCE OFFICER | — |
| COX THOMAS WILLIAM JR | PRESIDENT | — |


## Disclosures (108)

_Showing 10 of 14 distinct disclosure events._

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2009-06-10 | regulatory | SPECIFICALLY, CANACCORD GENUITY CORP. ADMITTED TO THE FOLLOWING VIOLATION: A) FAILING TO ADEQUATELY SUPERVISE RETAIL CLIENT ACCOUNT ACTIVITY CONTRARY TO IIROC DEALER MEMBER RULES 2500 AND 1300.2 (PRIOR TO JUNE 2008, IDA POLICY 2 AND IDA REGULATION 1300.2) (I) FROM 2005 THROUGH 2010, BY FAILING TO MO… | Final | $750K |
| 2005-07-11 | regulatory | FIRM FAILED TO MAINTAIN REQUIRED NET CAPITAL WHILE USING INSTRUMENTALITIES OF INTERSTAE COMMERCE TO EFFECT TRANSACTIONS IN SECURITIES | Final | $8K |
| 1997-06-22 | regulatory | EQUITY EFFECTED 7 NON-INSTITUTIONAL TRANSACTIONS DURING A 21-MONTH PERIOD WHILE UNREGISTERED AS A BROKER/DEALER IN MASSACHUSETTS. | Final | $194 |
| 1997-01-01 | regulatory | VIOLATION OF MSRB RULE G-17. DID NOT INCLUDE ALL REPORTABLE CONTRIBUTIONS. | Final | $2K |
| 1996-12-16 | regulatory | CONTRAVENED VSE RULE F.1.02 BY ACCEPTING ORDERS FROM THIRD PARTY WITHOUT HAVING ON FILE A TRADING AUTHORIZATION SIGNED BY THE CLIENT, AND CONTRAVENED VSE BY-LAW 5.01(2) BY PROVIDING INACCURATE INFORMATION TO THE VSE DURING THE COURSE OF AN INVESTIGATION. | Final | $10K |
| 1996-09-18 | regulatory | VIOLATION OF MSRB RULE G37/G-38. | Final | $250 |
| 1995-05-19 | regulatory | ALLEGED VIOLATIONS OF ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE, SALE OF SHARES TO RESTRICTED PERSONS, FAILURE TO ADEQUATELY SUPERVISE ACTIVITIES OF SALES REPRESENATIVE, | Final | $5K |
| 1994-03-03 | regulatory | ALLEGED VIOLATIONS OF ARTICLE III, SECTIONS 1, 2, 19(E) AND 27 OF THE RULES OF FAIR PRACTICE CONCERNING SUITABILITY AGAINST RESPONDENT O'BRIEN. RESPNDENT MEMBER, THROUGH RESPONDENT NEWMAN FAILED TO PROPERLY SUPERVISE O'BRIEN. | Final | $5K |
| 1986-02-03 | regulatory | ALLEGED VIOLATION OF FREE RIDING AND WITHHOLDING THRU THE SALE OF HOT ISSUES RESTRICTED TO AN INDIVIDUAL | Final | $2K |
| 1984-01-01 | regulatory | ALLEGED VIOLATIONS OF CUSTOMER CONTRACTS WITH NO APPROVAL BY PRINCIPAL, NON DISSENINATION OF BASIC OPTION DISCLOSURE DOCUMENTS TO CUSTOMERS AND NO MARK TO MARKET PRICING & MV PROVIDED TO CUSTOMERS WITH MARGIN ACCOUNTS FOR OPTION POSITIONS. | Final | $500 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/7449/brochure
- Similar advisers: https://search.stillhousedata.com/firm/7449/similar
- Related entities: https://search.stillhousedata.com/firm/7449/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/7449

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.