Gary Dagger Email & Phone Number

· [As a Trading Specialist] Responsible for placing listed and OTC trades (e.g. Equities, fixed income, mutual funds, derivatives (such as swaps, options, forwards and futures) via exchanges / SROs (such as TSX and NYSE) as per my extensive understanding of trading processes (as honed from experience), within a compliance and regulatory structure / framework (for an investment dealer firm registered with CSA and OSC and as a member of IIROC (now CIRO) and CIPF)· [As an Onboarding Specialist] Proactively remained current on IIROC, PCMLTFA (Proceeds of Crime (Money Laundering) and Terrorist Financing Act), FINTRAC (Financial Transactions and Reports Analysis Centre of Canada), CRS (Common Reporting Standard), FATCA (Foreign Account Tax Compliance Act) and QI (Qualified Intermediary) regulations for onboarding new clients and opening up their varied account types, such that meaningful contributions could be made, confidently and consistently, by maintaining and sustaining integrity· Continually assessed all compliance and regulatory requirements and made recommendations where appropriate (e.g. To update AML forms for auditors based on (stricter) regulator changes), including liaising closely with the Chief Compliance Officer (CCO)· Also made recommendations to improve customer service practices (e.g. Implemented efficient procedures for the administration of client files, such as making existing client intake forms more user-friendly and all-encompassing, as part of the 'Client Focused Reforms' initiative (that came into effect mid-2021 and at the end of 2021, as per the amendments to 'National Instrument 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations')

Remote

· Reviewed important Covid-19 impacted finance data via a bottom-up, risk/reward approach to identify undervalued securities that were forecasted to rise over time, with a striving ambition to be at the forefront of “investment science” and create sustainable wealth goals for prospective clients· Created high quality and meaningful content by utilizing my proficiency in Microsoft Office (e.g. Reports via Word, charts via Excel, presentations via PowerPoint, emails via Outlook)· Independently made suggestions and recommendations to improve on any of the business processes, initiatives and strategies, as a result of my innovative and resourceful mindset

4 King Street West, Suite 500, Toronto, On. Canada M5H 1B6

· Provided client and technical support to business partners (e.g. Banks, broker-dealers, mutual funds and corporate issuers), demonstrating intent of understanding via a client first approach· Identified and resolved multiple issues in a timely manner across the Dataphile platform (i.e. Delivered technology based solutions to address complex business problems, similar to ISM)· Regularly collaborated on initiatives outside of office hours (e.g. Weekend release support) by having the ability to be operationally flexible, including working extended hours when required

150 King Street West, Suite 500, Toronto, On. Canada M5H 1J9

· Conducted capital markets research (e.g. Via Bloomberg) to confirm all relevant investment information (e.g. Income generated from equities), as captured in the systems, was accurate· Analyzed large data sets (e.g. Ran SQL in Microsoft Excel, as well as using the tool for database management and data mapping) and ensured data integrity, quality and reliability at all times· Delivered on various initiatives and customized projects (e.g. Helped to organize special events and seminars as part of a committee that involved managing calendars and booking meetings)

22 Front Street, 11Th Floor, Toronto, On. Canada M5J 2W5

· Worked closely with Portfolio Managers and Private Client Associates, in all aspects of onboarding new clients and opening new client accounts, via the firm’s CRM and PM systems· Accountable for preparing and maintaining all client account documentation and files as well as setting up client data within the CRM system, due to being highly reliable and professional· Coordinated the development and improvement of the firm’s documents, disclosures, policies, processes and procedures, as per my ability to multi-task effectively with conflicting demands· Took the lead on various other day-to-day administrative, organizational, operational and servicing support tasks as required, while ensuring strict compliance to industry regulations

22 Front Street, 11Th Floor, Toronto, On. Canada M5J 2W5

· Dedicated to delivering exclusive and discretionary investment management support and advice to private clients, high net worth individuals and families across Canada, within a multi-faceted position· Seamlessly executed trades across investment accounts (e.g. Registered, unregistered), as per my thorough knowledge of the private client business (including client account procedures)· Other key responsibilities included reviewing and reconciling daily trades, requiring excellent attention to detail and integrity as well as superb organizational and time management skills· Promoted to department supervisor for my strong communications and interpersonal skills, as a personable and dynamic individual who could demonstrably work with minimal supervision· Also chosen for being willing, able and capable of backing up and supporting other associates and specialists (i.e. Unequivocally, a strong team player) plus the operational needs of the firm

Canadian Securities Course (Csc), Finance, Successfully Completed

· Attained strong understanding and knowledge of all financial services and products, including learning about the regulatory industry.

Chemistry, Science, Gpa Equivalent Of 3.7

· Had a world-renowned and highly respected scientific journal paper publish my final year data and technology driven dissertation.

Certificate, Starting A Small Business, Successfully Completed

· Wrote a detailed and well-researched business plan that successfully identified an under-valued yet highly lucrative business vertical.