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Client Agreement and Notices for Queensbury Securities Inc.

For All Accounts
  • Client Agreement
  • Relationship Disclosure
  • Conflicts of Interest Statement
  • Electronic Funds Transfers – Terms & Conditions
  • Administration Fee Schedule
  • Strip Bonds and Strip Bond Packages Information Statement
  • Introducing/Carrying Broker Disclosure
  • Shared Premises Disclosures
  • Advisor as Agent Disclosure
  • Leverage Disclosure
  • Escheatment of Physical Certificates
For Managed Accounts
  • Allocation of Investment Opportunities for Managed Accounts
Keeping You Informed (Regulatory Disclosure)
  • Privacy and Protection of Personal Information Policy
  • Communication with Beneficial Owners of Securities
  • Institutional Trade Matching Statement
Handling Complaints
  • Complaint Handling Policy
  • Making a Complaint – A Guide for Investors
  • IIROC How Do I Get Money Back
  • Ombudsman for Banking Services and Investments – Investor Brochure

Queensbury Conflicts Disclosure

Queensbury Strategies Inc. is a member of the Canadian Investment Regulatory Organization, the Canadian Investor Protection Fund and is registered in Ontario, Alberta, Quebec and British Columbia to sell Mutual funds, GICs and ETFs.
Queensbury Securities Inc. is a member of the Canadian Investment Regulatory Organization, the Canadian Investor Protection Fund and is registered in Ontario, Alberta, Manitoba, New Brunswick, Nova Scotia, Newfoundland and Labrador, Saskatchewan, British Columbia and Prince Edward Island to sell stocks, bonds and other listed securities.

CIRO Advisor Report – Investors may research the background, qualifications and disciplinary information on advisors at CIRO-regulated firms by referencing to the CIRO Advisor Report found here.
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