We have included several investor brochures created by the Canadian Investment Regulatory Organization ("CIRO") for your review. Each brochure contains valuable information for all potential and existing clients regarding working with a licensed Financial Advisor and any investment recommendations that are provided to you. We encourage investors to review each of the brochures and if you have any questions please do not hesitate to contact our compliance officer.
De Thomas Wealth Management does not manufacture or distribute "in-house" products and therefore avoids any potential conflicts of interest.
We use the highest level of external and internal controls to monitor all client accounts and business activities. Under the supervision of the Chief Compliance Officer, Jason De Thomasis, the compliance staff at De Thomas Wealth is responsible for reviewing each client account to ensure all investment recommendations are suitable as per the clients signed Know-Your-Client (KYC) form. The compliance staff of De Thomas Wealth verifies each trade completed for every client account following regulatory requirements.
Chief Compliance Officer:
Jason De Thomasis BMOS, CFP
9033 Leslie Street Unit 1
Richmond Hill, Ontario, L4B 4K3
E-mail: jason@dethomaswealth.com
Tel: 905-731-9800
Fax: 905-731-9759
Toll Free: 1-833-731-9800
Danna Schaubel, Director, Compliance
Danna began her career as an Advisor, has a strong background in compliance, and enjoys working together with advisors to create and maintain a compliant business practice. She comes to us with experience working for an industry regulator, an ICPM, a fund company, and previously, a mutual fund dealer. Danna has the CFP certificate and was previously life insurance licensed
Phoirs Sam, Compliance Manager
Phoirs comes with a wealth of knowledge as she started her career as an Advisor. She has a great overall understanding of compliance from an Advisor perspective and is happy to help you excel in making your practice deficient-free.
Lulu Mao, Compliance Manager
Lulu came to De Thomas with many years of working experience as a compliance officer and operation specialist at different dealerships, she had a strong background working with advisors from different perspectives of different departments and she believes a positive relationship with advisors is the key to success for any dealerships.
Barb Macdougall, Compliance Auditor
Barb comes to us with many years of experience as an auditor and is well-versed in industry expectations. Barb’s valued experience helps provide guidance and best practices when needed.
De Thomas Wealth Management is a member of
The Canadian Investment Regulatory Organization ("CIRO")
The Better Business Bureau (BBB)
The Registered Deposit Brokers Association (RDBA)
Canadian Investor Protection Fund