|Legal name:||Richard Carl Peter Vetter|
|Province of Residence:||BC|
|Firm Name:||Aligned Capital Partners Inc.|
|Status with Firm:||Active|
|Registered Business Location:||9351 Glenacres Drive, Richmond, BC, V7A 1Y6|
IIROC Approval Categories
Registered Provinces and Territories
This person is registered to trade and is registered as a dealing representative or salesperson (if registered under commodity futures legislation in Ontario or Manitoba) in the following province(s)/territories:
- British Columbia
- Nova Scotia
Terms and Conditions
If an advisor has a condition(s) placed on their approval with IIROC or their registration, it will be identified here.
The following terms and conditions have been placed on this advisor:None
Previous sponsoring IIROC Member firms
This advisor was previously registered with:
- BERKSHIRE SECURITIES INC.
- MANULIFE SECURITIES INCORPORATED/PLACEMENTS MANUVIE INCORPORÉE
This person has completed or been exempted from the following industry course(s) and exam(s):
|Apr 06, 2020||Exempt||Investment Management Techniques|
|Apr 06, 2020||Exempt||Portfolio Management Techniques|
|Jun 12, 2015||Completed||Chartered Investment Manager (CIM)|
|Mar 27, 2015||Completed||Portfolio Management Techniques|
|Oct 20, 2005||Completed||Effective Management Seminar|
|Apr 01, 2005||Completed||Investment Management Techniques|
|Dec 02, 2003||Completed||(Discontinued) Branch Manager's Examination Course|
|May 21, 2002||Completed||Conduct and Practices Handbook Course|
|Jul 06, 2000||Completed||Canadian Securities Course|
|Apr 01, 2000||Completed||(Discontinued) Certified Financial Planner Program|
|Jan 01, 1997||Completed||Chartered Life Underwriting (C.L.U).|
The Investment Industry Regulatory Organization of Canada (IIROC) regulates all Canadian investment dealers and their approved employees and agents.
Individuals wanting to work at IIROC-regulated firms in specific roles (for example as a Registered Representative or an Investment Representative) must apply to IIROC for approval. Before approving these individuals, IIROC checks their qualifications and background to ensure that they meet IIROC’s requirements . Certain categories of employment (such as administrative assistants, IT specialists) do not need to be approved by IIROC. A full list of roles that require IIROC approval is provided in this Report and in the “Frequently Asked Questions” on the IIROC
Please note that in this Report and in the “Know Your Advisor” section of the IIROC web site , we have used the general term ‘advisor’ to refer to a number of official regulatory approval categories such as Registered Representative and Investment Representative. ‘Advisor’ is not, however, an official IIROC approval category for individuals working at IIROC-regulated firms and is not being used to represent an official registration category .
The information provided in this IIROC AdvisorReport comes from the National Registration Database (the Canadian securities industry’s registration database) and IIROC’s public disciplinary records.
The IIROC AdvisorReport displays industry courses that an advisor has passed in connection with an IIROC approval. The report may display additional courses that are not required by IIROC, depending on the disclosures made by the advisor through NRD. For several reasons, the report may not include a complete listing of all additional non required professional or industry courses that an advisor has taken in support of other licenses held, to expand knowledge or to stay current. You should speak to your advisor if you have questions about an advisor’s educational background or courses completed.
With regard to any indications of Regulatory Disclosures which have been made by approved persons through their National Registration Database (NRD) filings, the IIROC AdvisorReport will identify the fact that the individual has made a regulatory disclosure. For several reasons, including the need to protect the interests of third parties who may have been mentioned in the full NRD filing, the Report cannot provide any further detail on the actual disclosures. Investors are encouraged to follow up directly with the advisor to obtain additional information.
This report only provides information about individuals who are currently approved with an IIROC-regulated firm. If you are looking for disciplinary information about an individual who is no longer working for an IIROC-regulated firm please visit: https://www.iiroc.ca/rules-and-enforcement/enforcement
Thank you for using IIROC AdvisorReport.
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