SOPHIA FINANCIAL OF RAYMOND JAMES - Key Persons
Alan Wong - Chief Legal Officer, Secretary, SVP
Job Titles:
- Corporate Secretary
- General Counsel
- Member of the Executive Committee
- Member of the Leadership Team
- Senior Vice President
- Senior Vice President, General Counsel & Corporate Secretary / Raymond James Ltd.
Alan Wong is Senior Vice President, General Counsel & Corporate Secretary. Alan has been with Raymond James since 2006 in progressively senior roles within the legal department, including having acted as General Counsel in 2018 and then again since October 2019. Alan brings a practical approach to finding solutions with an unwavering commitment to the spirit and letter of the law. He has practiced law since 1998 after obtaining his law degree from the University of Alberta and is a member of both the Alberta and BC Bar. He commenced his career as a commercial and civil litigator before specializing in financial services with insurance and securities firms.
Job Titles:
- Vice President, Practice Management
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Senior Vice President and CFO of Raymond James
- Senior Vice President, Chief Financial Officer / Raymond James Ltd.
Anne Meyer is Senior Vice President and CFO of Raymond James and is responsible for overseeing a full service brokerage finance and accounting operation, providing leadership and direction at the corporate level. Anne is responsible for providing financial and management reporting, operational planning and analysis, as well as formulating and implementing tactical and strategic initiatives. Anne brings extensive experience in the financial services sector to her role. Before joining Raymond James in 2003 she was a Senior Manager with Grant Thornton where she specialized in the financial services sector. In addition to receiving her chartered accounting (CA) designation, Anne completed the in depth tax course offered by the CICA and the certified investments and derivatives auditor (CIDA) designation. Anne currently acts as Director for the Raymond James Canada Foundation and Chair of the Audit Committee with AdvantageBC.
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Senior Managing Director / Head of Institutional Trading
- Senior Managing Director, Head of Institutional Trading / Raymond James Ltd.
Bob McDonald joined Raymond James in 2000, as a proprietary trader in our Vancouver office. In 2004, he became the firm's income trust facilitation trader, and in 2006, he moved to Toronto to become Head of Institutional Trading, joining the firm's Capital Markets Executive Management Group. In 2008, Bob moved back to Vancouver from where he leads the Institutional Trading team. Bob is a Chartered Professional Accountant (CA) and holds the Chartered Financial Analyst designation.
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Member of the Firm 's Operating Committee
- Senior Vice President, Head of Private Client Solutions / Raymond James Ltd.
In addition to being on the Senior Leadership Team and Executive Committee, Chris is a member of the firm's Operating Committee, Wealth Management Operating Committee, Product Review Group and provides input on the firm's strategy and policy decisions. Chris is an accredited portfolio manager, holds an MBA from Athabasca University and is also a Fellow of the Canadian Securities Institute (FCSI) and holder of the Chartered Investment Manager (CIM) designation. He is also a graduate of the Securities Industry Institute (SII), Executive Development Program, sponsored by SIFMA and The Wharton School.
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Senior Managing Director / Head of Investment Banking
- Senior Managing Director, Head of Investment Banking and M & a / Raymond James Ltd.
Prior to Raymond James, Mr. McDougall was Head of Mergers & Acquisitions at National Bank Financial for 17 years. Mr. McDougall also worked at Deutsche Morgan Grenfell where he was a Vice-President and Director in the Global Mergers and Acquisitions group. Prior to that, he was a senior practitioner at Ernst & Young's Mergers and Acquisitions group. Mr. McDougall has over 30 years of senior mergers and acquisitions experience. Mr. McDougall is a member of the Institute of Chartered Accountants (C.A.) and holds a Chartered Business Valuator (C.B.V.) designation. Mr. McDougall was past President and member of the Board of Directors of the Canadian Institute of Chartered Business Valuators.
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Senior Managing Director
- Senior Managing Director, Head of Equity Research / Raymond James Ltd.
Daryl Swetlishoff joined the firm in 2001 and was named Head of Equity Research of Raymond James Ltd. in May 2007. Based in Vancouver, he is responsible for a group of 40 research and operations professionals, providing research coverage on over 240 companies across seven sectors. Daryl is also a ranked analyst covering Paper & Forest sector equities. He holds the Chartered Financial Analyst designation, and earned an MA (Economics) from the University of Victoria.
Job Titles:
- Member of the Management Team
- Head of Strategy & Business Development, Correspondent Services
Job Titles:
- Member of the Management Team
- Vice President, Correspondent Services
Job Titles:
- Member of the Management Team
- Senior Vice President, Correspondent Services
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Senior Vice President, National Director, IFS / Raymond James Ltd.
Davida's extensive career spans over 30 years in the private client group arena. She joined Raymond James in 2009 as Manager, Transition Services to lead the Private Client Group transitions team in successfully onboarding over 200 Advisors to the Raymond James platform. From there, her responsibilities continued to grow and she added oversight of the Investment Services Centre, PCG Projects and PCG Training to her purview. In her current role of SVP, National Director, IFS, she provides leadership to over 120 agencies and 250 Advisors across Canada under the independent agent model.
Job Titles:
- Chief Executive Officer
- Member of the Executive Committee
- Member of the Leadership Team
- Chief Executive Officer / Raymond James Ltd.
Jamie Coulter is Chief Executive Officer, Raymond James Ltd., responsible for the day-to-day operations of RJL. He is also on the Board of Raymond James Ltd. In his previous role as EVP, Head of Wealth Management, Jamie was responsible for leading the firm's advisor network, overseeing both the employee corporate advisors and the independent agents. Jamie first joined the predecessor firm of Raymond James in 1995, and held senior positions in both the firm's private client and equity capital markets divisions, including General Manager, Equity Capital Markets and Branch Manager of the downtown Toronto private client group complex.
Jamie has a Bachelor of Education from York University, a Masters in Economics and an Executive MBA from Queen's University.
Active in his community, Jamie currently serves as Chair of the Board of Governors for Crescent School and sits on the board of the Raymond James Canada Foundation.
Jason Enouy - Chief Compliance Officer
Job Titles:
- Chief Compliance Officer
- Member of the Executive Committee
- Member of the Leadership Team
- Senior Vice President & Chief Compliance Officer / Raymond James Ltd.
As Chief Compliance Officer, Jason Enouy is responsible for the firm's compliance, privacy, and anti-money laundering programs for all lines of business. Before joining the firm, Jason led compliance and risk management functions at two large Canadian wealth management and securities firms, as well as a schedule II chartered bank. Jason is a member of the Law Society of Ontario, and holds a Juris Doctor from the University of Toronto and a Bachelor of Arts from Carleton University in Ottawa. Jason sits on the Board of the Raymond James Canada Foundation.
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Senior Vice President, Head of Wealth Solutions, Raymond James Ltd. and CEO, Solus Trust Company Raymond James Trust ( Québec ) Ltd.
- Senior Vice President, Head of Wealth Solutions, Raymond James Ltd. and CEO, Solus Trust Company Raymond James Trust ( Québec ) Ltd. Raymond James Ltd.
Jennifer Hodgson is Head of Wealth Solutions and CEO, Solus Trust Company. She is responsible for all of the firm's trust activities nationally including Raymond James Trust (Quebec) Ltd. Prior to joining Raymond James, Jennifer held various senior roles in two of Canada's biggest bank-owned Trust companies. With over 25 years in the Wealth management and Trust services industry, Jennifer brings extensive experience and knowledge to our organization and Trust offerings. A native Montrealer, Jennifer is bilingual and holds a Bachelor of Economics from Concordia University. She also holds a trust designation (MTI) from the Institute of Canadian Bankers as well as a TEP designation from the Society of Estate and Trust Practitioners.
Job Titles:
- Managing Director / Equity Capital
Job Titles:
- Chief Operating Officer
- Chief Risk Officer
- Member of the Executive Committee
- Member of the Leadership Team
- Chief Operating Officer & Chief Risk Officer / Raymond James Ltd.
As Chief Operating Officer and Chief Risk Officer, Lloyd is responsible for the firm's key administrative and operational functions, including Information Technology, Finance, Human Resources, Securities Operations, Office Services, Credit, and Registrations. Prior to joining Raymond James in 2001, he served as a senior financial and operations executive with the Canadian Venture Exchange (now TSX Venture Exchange) where he played an active role in the organization's development and acquisition by the TSX. Lloyd also held the role of Executive Vice President and Chief Financial Officer at the Vancouver Stock Exchange and was a director and senior executive of an international financial services organization and insurance company for 13 years. Lloyd serves on the Raymond James Board of Directors, and on the Risk Management and Audit Committees of the Canadian Depository for Securities Ltd. and Canadian Derivatives Clearing Corporation.
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Senior Vice President, National Director, Private Client Group / Raymond James Ltd.
Micol Haimson is an accomplished management professional and a bilingual leader with a talent for managing teams in challenging environments. She is a skilled networker, strategic thinker and effective communicator, and she has a notable track record in sales, sales leadership and business development.
Giving back has always been important to Micol. She has generously donated her time and talent to many organizations and causes throughout her career. She currently serves as a board member on several community organizations.
In her free time, Micol enjoys spending time with her husband, Charles, and their two sons, Harry and Ben.
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Senior Managing Director / Head of Equities
- Senior Managing Director, Head of Equities / Raymond James Ltd.
- Senior Managing Director, Head of Equities at Raymond James Ltd
Nicole Svec is Senior Managing Director, Head of Equities at Raymond James Ltd. Since joining Raymond James in 2000, Nicole has played an integral role in building out the US equities business in Canada. She became Head of US Equity Sales in 2016 and Co-Head of Institutional Equity Sales in 2019. In January of 2022, Nicole took on an expanded mandate as Head of Equities leading all aspects of the equities business (sales, trading, and research). Nicole is a member of the RJL Leadership Team and is a member of the Raymond James Ltd. Operating Committee, providing input on the firm's strategy and policy decisions. Nicole is also involved in the firm's sustainability efforts through the Sustainability Committee. At an industry level, she is also a member of Women in Capital Markets.
Nicole has an MBA from the Schulich School of Business and completed SII's Executive Education Leadership Development program at the Wharton School. Nicole is also a CFA charterholder.
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Non - Executive Chair of Raymond James Ltd
- Non - Executive Director of CSC / Non - Executive Chair of RJL / Non - Executive Chair of Raymond James Financial International
- Non - Executive Director of CSC, Non - Executive Chair of RJL
As Non-Executive Chair of Raymond James Ltd., Paul Allison provides strategic guidance to the management team, governance and serves in a senior client relationship capacity. From August 2008 until December 2021, Paul was Chair and Chief Executive Officer of Raymond James Ltd.
Prior to joining the firm in August 2008, he worked as executive vice president and vice-chairman at Merrill Lynch Canada, as well as co-head of the firm's Investment Banking business. Before joining Merrill, he was head of equity capital markets at BMO Nesbitt Burns, one of Canada's leading bank-owned investment dealers. Paul brings more than 32 years of senior capital markets and investment banking experience to this role including underwriting and arranging public and private debt and equity capital raising, as well as developing and managing retail products.
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Senior Managing Director / Head of Equity Origination & Syndication
- Senior Managing Director, Head of Equity Origination & Syndication / Raymond James Ltd.
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Senior Vice President, Head Human Resources / Raymond James Ltd.
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Senior Vice President, Corporate Communications & Marketing / Raymond James Ltd.
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Executive Vice President, Head of Wealth Management, Private Client Group / Raymond James Ltd.
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Senior Managing Director / Head of Institutional Equity Sales
- Senior Managing Director, Head of Institutional Equity Sales / Raymond James Ltd.
Job Titles:
- Member of the Executive Committee
- Member of the Leadership Team
- Chief Administrative Officer, Private Client Group / Raymond James Ltd.
Job Titles:
- Senior Vice President, Head of Growth and Development