Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIESADDRESS

P.O. BOXCEOCOMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

A.S.P.I Bahamas Ltd.

1. Managing Securities
2. Advising on Securities

Ground Floor Ocean Centre, East
Bay Street

SP-61913

Carole Sassoon

Magnal Elaine Thompson

N/A

N/A

N/A

Abaco Global Advisors Ltd.

1. Managing Securities

3B One Sandyport Plaza West Bay
StreetSP-64168

Oliver Notz

Michelle Knowles-Doura

N/A

N/A

Oliver Notz

Acetop Global Markets Limited

1. Dealing in Securities as Agent or
Principal
2. Arranging Deals

Unit 9, North Buckner Square,
Sandyport Nassau Bahamas

N/A

Fareda Sands

Nicholette Farrington

Mark Gemma

N/A

N/A

ActivTrades Corp.

1. Dealing in Securities as Agent or
Principal
2. Arranging Deals

209/210 Church Street, Sandyport
Plaza, Nassau, Bahamas

SP-64388

Alessandro Giuseppe Gho

Clesha Morley

Andrea Draghi

N/A

N/A

Akelius Invest Ltd.

1. Managing Securities

Lyford Manor, Western Road,
Nassau Bahamas

AP-59223

Demetrius Syllouris

Sandra Gilbert

N/A

N/A

Demetrius Syllouris

Alliance Investment Management
Ltd.

1. Dealing in Securities as Agent
2. Arranging Deals
3. Advising on Securities

Carmichael Commercial Centre,
2nd Floor Suite 201, CarmichaelRoad

SS-19051

Julian Brown

Ruth Bowe-Darville

Julian Brown;
Nolan Johnson

Julian Brown

Nolan Johnson

AlpacaX Securities Ltd.

1. Dealing in Securities as Agent or
Principal
2. Arranging deals in securities
3. Manging securities
4.Advising on Securities

Crypto Isle, Bay Street,
Nassau Bahamas

Tarun Ajwani

Dave Smith

Tony Lee

Tony Lee

Tony Lee

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIES

1. Dealing in Securities as Agent only
2. Arranging deals in securities
Alternative Investment Solutions Ltd.
3. Manging securities
4.Advising on Securities

ADDRESS

P.O. BOXCEOCOMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

N/A

5 Pineapple Grove, Lyford Cay

SP-64284

Samir Lakkis

Francisca Anthonicia Delva

Samir Lakkis

Tameka Stubbs
Julian Benichou
Sergio Esteso Vida;
Samir Lakkis
Nassiv Hacham;Markus Wiessler;
Marie Ujueta;
Miguel Solis;Richard Allford;
Ignacio A.A. Torro;
Karim A. Lakkis Cases;
Rogelio Javier Solis Velasquez;
Mina Lazic;
Jad Al Boustani

Ask Capital Management Ltd.

1. Managing Securities

Clairmont Trust Company Limited
Pineapple House #4 Lyford Cay

SP-642874

James Hoar

Wanda Maycock

N/A

N/A

Fouad Akkari;James Hoar;
Daniel Magdolen

Axmin Capital Ltd.

1. Dealing in Securities as Principal
and Agent
2. Advising on Securities

Winterbotham Place, Marlborough& Queen Sts.

N-3026

Ernesto Fridman Pardo

Marcelo A. Liste

Guillermo Baeza

Guillermo Baeza; Ernesto Fridman Pardo

N/A

Axxets Management Inc.

1. Managing Securities
2. Advising on Securities

Bayside Executive Park, No. 3,
West Bay Street & Blake Road,
Nassau, Bahamas

CB-12407

Yair Esrubilsky

Prescott Adderley

N/A

Anthony Ferguson; Yair Esrubilsky

Anthony Ferguson; Yair Esrubilsky

Bahamas Central Securities
Depository (BCSD)

Clearing Facility

British Colonial Hotel Hilton #202

N-9307

Melissa Campbell

Latonia Symonette-Tinker

N/A

N/A

N/A

Bahamas International Securities
Exchange (BISX)

Marketplace

Suite 201, Fort Nassau Centre,
British Colonial Hilton, Bay Street

EE-15672

Keith Davies

Holland Grant

N/A

N/A

N/A

Bahamas Securities (1987) Limited

1. Advising on Securities

Gresham House' Charlotte StreetSouth

N-10144

George C. Culmer

Myles Culmer

N/A

George C. Culmer; Myles J. Culmer

N/A

Page 2

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

Banca del Sempione (Overseas) Ltd.

CATEGORIES

1. Dealing in Securities as Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

ADDRESS

Unit 10-12 Old Fort Bay Town
Centre, Bldg. 2

P.O. BOXCEOCOMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

Stefano Donati, Benjamin Roger Pinder

Simone Bertoldo;
Stefano Donati

N-8159Simone Bertoldo

Rickel Alma Trotman

Edrick Cleare;
Michele Piantoni;
Simone Bertoldo; Benjamin
Roger Pinder

Banco Santander International SA

1. Dealing in Securities as Principle &Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

1st Floor Caves Corporate Centre,
Building A, West Bay Street andBlake Road

N-1682

Jordi Planell Pons

Tamara Joan Johnson

Jordi Planell Pons

Jordi Planell Pons

Jordi Planell Pons

BankPro Limited

1. Dealing in Securities as Agent or
Principal, including underwriting
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

Lyford Manor, Western Road,
Nassau, Bahamas

N-7776

Nicholas Dudely Wright

Bernadette Beryl Heastie(Vacant)(Vacant)(Vacant)

CB-10988

Adrian Zadeh

Helene Virginie Tison Duhaze

Yantoni Zeitoune;
Joao Franco

Adrian Zadeh

Adrian Zadeh
Daniel SaraleguiN-4287

Nicole M. Dupuy

Monique Knowles

N/A

Nicole M. Dupuy

Nicole M. Dupuy

1. Dealing in Securities as Principal &Agent
Lyford Financial Centre, Building 2,
Bank J. Safra Sarasin (Bahamas) Ltd. 2. Arranging Deals.
Western Road, Lyford Cay
3. Managing Securities
4. Advising on Securities

BDI Limited

1. Managing Securities
2. Advising on Securities

Bougainvillea Lyford Drive, Lyford
Cay. Nassau, Bahamas

Page 3

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIES

1. Deal in Securities as Agent or
Benchmark Advisors (Bahamas) Ltd. Principal
2. Advising on Securities

ADDRESS

P.O. BOX

Gresham House, Charlotte Street
North

CEO

COMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

N-10144

Sandra J. Knowles

Ruth Bowe-DarvilleNolan Johnson

Nolan Johnson

N/A

PO-SS19501

Ian Black

Valentino Brown

N/A

Marc-Claudio Muller
Ian Black

Bradley Crawley
Ian BlackMarc-Claudio Muller

4 North Buckner Square
Sandyport, Nassau, Bahamas

N-3406(Vacant)

Shavonnia Cordice

Shiwei Kwong

N/A

Shiwei Kwong

104 Cotton Tree Plaza,
East Bay Street,
Nassau, Bahamas

Black Isle Management Services Ltd.

1. Managing Securities
2. Advising on Securities

Blackwell Global Investments Limited

1. Dealing in Securities as Agent or
Principal, including underwriting
2. Arranging Deals
3. Managing Securities

Blue Line Advisors Ltd.

1. Managing Securities

APMS House #8 Pineapple Grove
Old Fort Bay

SS-19689

Pierre M. E. Monnard

Indira Ferguson

N/A

N/A

Pierre M. E. Monnard

Bluebay Global Advisors Ltd.

1. Managing Securities

APMS House #8 Pineapple Grove
Old Fort Bay

SS-19689

Pierre Monnard

Indira Ferguson

N/A

N/A

Pierre Monnard

Britannia Bank & Trust Ltd.

1. Dealing in Securities as Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

Caves Village, Building #2, West
Bay Street, Nassau, Bahamas

N-3917

Jose Herrera

Sue-Ann Viken

Mateo Raimondo; Julian
Adderley; Andrea Albanese;
Joseph Byrne; Jose Herrera

Mateo Raimondo; Julian Adderley; Andrea Albanese;
Joseph Byrne

Mateo Raimondo; Julian Adderley;
Andrea Albanese; Joseph Byrne;
Jose Herrera

Page 4

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

Britannia Securities Limited(Formerly Arbitral Securities Ltd.)

Canaccord Genuity Emerging
Markets Ltd.

CATEGORIESADDRESS

P.O. BOX

1. Dealing in Securities as Agent or
Principal
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

Unit 6, Western BusinessCentre,Western Road, Nassau
Bahamas

1. Arranging Deals
2. Advising on Securities

1. Dealing as agent or principal
Capital Com Online Investments Ltd. including underwriting
2. Arranging deals in securitiesCEO

COMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

SP-64093

Andre Souza

Rochelle Cleare

Shinique Rolle, Bernardo
AmaralAndre Souza

Andre Souza; Shinique Rolle,
Bernardo Amaral

119 Harbour Way, Ocean Club
Estates, Paradise Island, Nassau,
BahamasN -1879

Eugene McBurney

LaTonia Symonette-Tinker

N/A

Eugene McBurney

N/A#3 Bayside Executive Park, Blake
Road and West Bay Street

65167

Prescott Edvardo Adderley

Noelle Paje Scott

Rupert Simon Toby Osborne

N/A

N/A

Bayside Executive Park, No. 3,
West Bay Street & Blake Road,
Nassau, Bahamas

SS-19086

Anthony Ferguson

Prescott Adderley

Anthony Ferguson

N/A

N/A

Clement Ducasse;
Antoine Lacourt

Clement Ducasse;
Antoine Lacourt;

Aurelien Vicart

Aurelien Vicart

Capital Index (Global) Limited

1. Dealing in Securities as Principal &Agent
2. Arranging Deals

Capital Union Bank

1. Dealing in Securities as Principal or
Agent
2. Managing Securities
3. Advising on Securities

CUB Financial Centre; Lyford Cay

AP-59223

Patrick Zbinden

Nicolette Alexis Duncanson

Clement Ducasse;
Antoine Lacourt;
Maxine Barberis;
Pierre Soron;
Clement Gless

Capital Vision Limited

1. Managing Securities
2. Advising on Securities

Unit #1 Pineapple Business Park,
Airport Industrial Park, Nassau,
The Bahamas

SB-60765

Aurelien Vicart

Monique Knowles

N/A

Page 5

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIESADDRESSCEOCOMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

Shamini Gibson;
Jamal Wright;
Ursula Rolle;
William Gibson;
Ginarenae Chuno;
Guilhermo Alvarez Santini;
Lynette Martinborough;Julio Vargas;
Daniel Baron

Ursula Rolle

CBH House, East Bay Street

N-1724

Daniel Baron

Rochelle Rolle

Shamini Gibson;
Jamal Wright;
Daniel Baron;
William Gibson;
Ginarenae Chuno;
Lynette Martinborough; ;Julio Vargas

Unit 400, Fourth Floor, #1 Bay
Street, British Colonial Centre ofCommerce

SP-63191

Keva Ferguson

Indira Ferguson

Sze Ning

N/A

N/A

CB-12407

Anthony Ferguson

Monique Knowles

Pamela Musgrove;
Tiffany Angelique Smith;
Jeanelle Christal Francis;
Anna Zervos;

Dwayne Swann;Shafegah Duncanson;

N/A

Miles Evans;
James Hoar;
John Jephson;
Jaime Stewart

CBH Bahamas Ltd.

1. Dealing in Securities as Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

CF Group Company Limited

1. Dealing in Securities as Agent only,
including underwriting

CFAL Securities Ltd.

1. Dealing in Securities as Principal &Agent
2. Arranging Deals.
3. Managing Securities
4. Advising on Securities

Clairmont Trust Company Limited

1. Managing Securities
2. Advising on Securities#4 Pineapple House, Lyford Cay

Colina Financial Advisors Limited(CFAL)

1. Managing Securities
2. Advising on Securities

308 East Bay Street

1. Dealing in Securities as AgentCoralisle Pension Services (Bahamas) 2. Arranging Deals
Limited3. Managing Securities
4. Advising on Securities

P.O. BOX

308 East Bay Street

2nd Floor Atlantic House, Collins
AvenueSP-64284

Miles Evans

Wanda Maycock

N/A

Miles Evans;
James Hoar;
John Jephson;
Jaime Stewart

CB-12407

Anthony Ferguson

Monique Knowles

N/A

Anthony Ferguson
Pamela Musgrove

Anthony Ferguson
Pamela Musgrove

SS-6246

Larry Gibson

Derek Smith

Larry Gibson(Vacant)

Page 6

Kriston Moore

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIESADDRESS

P.O. BOXCEOCOMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP(Vacant)

Core Capital Partners Ltd.

1. Dealing in Securities as Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities#3 Windsor Business Park
Nassau, Bahamas

SP-63035(Vacant)

Kristy Kemp

Alma McIntosh

Alma McIntosh

Corner Bank (Overseas) Limited

1. Dealing in Securities as Agent or
Principal, Includinig Underwriting
2. Managing Securities
3. Advising on Securities

Lyford House, Lyford Cay

N-7134

Christine Russell

Jennifer Rahming

Davide Sergio Bonetti;
Shakema Sweeting;
Eronjha McIntosh;
Shevonne Rahming

Davide Sergio Bonetti;
Orazio Defilippis;
Andrea Fronzoni;Peter Ceuleers

CPL Advisors Limited

1. Managing Securities

Winterbotham Place Marlborough& Queen Streets

N- 3026

Agustin del Rio

Anja Charles

N/A

N/A

Agustin del Rio

Credit Suisse AG, Nassau Branch

1. Dealing in Securities as Principal &Agent
2. Arranging Deals.
3. Managing Securities
4. Advising on Securities

Thomas Markus Karrer;
Oliver Turner;
Guilherme Bianchi;
Pedro Moreira Alexandre

Thomas Markus Karrer;
Guilherme Bianchi;
Leonam Oliveira;
Oliver Turner;
Pedro Moreira Alexandre(Vacant)

Credit Suisse Brazil (Bahamas)
LimitedCrescendo (Bahamas) Ltd.

1. Dealing in Securities as Principal &Agent

1. Managing Securities
2. Advising on Securities

4th Floor The Financial Centre,
Shirley & Charlotte Streets

Orazio Defilippis
Davide Sergio Bonetti

N-4928Lakeisha Sands

Jeunesse Osadebay-Bullard

4th Floor Bahamas Financial
Centre, Shirley & Charlotte Streets

N-3241

Lakeisha Sands

Jeunesse Osadebay-Bullard

N/A

N/A

N/A

Western Business Center, Western
Road, Nassau, Bahamas

SP-64412

Claude Philip Meier

Natasha Michelle BastianDamian Eustan Forbes

Claude Philip Meier
Damian Eustan Forbes

Claude Philip Meier
Damian Eustan Forbes

Page 7

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

Dartley Securities Limited

CATEGORIES

1. Dealing in Securities as Agent

Deltec Bank & Trust Ltd.

1. Dealing in Securities as Principal &Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

Deltec Investment Advisers Limited

1. Managing Securities
2. Advising on Securities

Deltec Securites Ltd.

Ebonex Bahamas Limited

1. Dealing in Securities as Principal &Agent
2. Arranging Deals
3. Managing Securities

1. Dealing as agent or principal
including underwriting
2. Arranging deals in securities
3. Managing Securities on adiscretionary basis
4. Advising on securities

ADDRESS

P.O. BOX

Equity House, Caves Village Plaza,West Bay Street & Blake Road

CB-11838

Deltec House, Lyford Cay

CEO

COMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

Dillon Dean

Sally Patton

Thomas Strachan

N/A

N/A

Vivienne Watts;
Marcia Adderley;
Giovanni Pirana;
Paul Stappard;

Stefano Pral;
Vivienne Watts;
Marcia Adderley;
Robert Turnquest;
Giovanni Pirana;
Paul Stappard;
Harold A. Munnings III

Audra Dean;
William Godet;
Vivienne Watts;
Robert Turnquest;
Janeen Bethel;N-3229Odetta Morton(Vacant)

Deltec House, Lyford Cay

N-3229Jean Chalopin(Vacant)

N/A

Marcia Adderley;
Robert Turnquest;

Deltec House, Lyford Cay

N-3229Robert Turnquest(Vacant)

Audra Dean

N/A

Robert Turnquest

Desiree Lavonne Parker-Burrows

Rayneth Darling

Man Kwong Cheng; Chi ChungKi

Man Kwong Cheng; Chi Chung Ki

Man Kwong Cheng; Chi Chung Ki

223-226 Island Lane, Sandyport
MarinaPage 8

Marcia Adderley;
Robert Turnquest;

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIESADDRESS

P.O. BOXCEOCOMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP(Vacant)

CB 10956

Alexandre Sampedro

Maria Dorsett

Armando Neto,
Alexandre Suarez

Nicole Leonard;
Robert S. Morrison;
Katty Ferguson;
Armando Neto;
Douglas Blank De Sousa Pereira;Carlos D'Alessandro;
Alexandre Suarez

201 Church Street, Sandyport,
West Bay St.,
Nassau, Bahamas

SP 64407

Andrew Rolle(Vacant)

Joel Murphy

N/A

N/A

Loyalist Plaza, Don Mackey
Boulevard,Marsh Harbour, Abaco

AB-20377

E. Isaac Collie

J. Derek Benjamin

David Hoang

Lawrence Collie

E. Isaac Collie

N-10697

Dillon Dean

Robyn Newton

Dillon Dean

Dillon Dean

Dillon Dean

Suite 5 Caves Professional Center,
West Bay Street & Blake Road

N-1114(Vacant)

Natividad Esther Benitez(Vacant)

N/A

N/A

Winterbotham Place, Marlborough& Queen Streets

SP-62557

Ivan Hooper

Anja Marie Charles

N/A

N/A

Ivan Hooper

EFG Bank & Trust (Bahamas) Ltd.

1. Dealing in Securities as Principal &AgentGoodman's Bay Corporate Centre,
2. Arranging Deals.
3rd Floor, West Bay Street and Sea
3. Managing Securities
View Drive
4. Advising on Securities

Eightcap Global Limited

1. Dealing in Securities as Principal &Agent
2. Arranging Deals.

Elco Securities Limited

1. Dealing in Securities as Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

Equity Bank Bahamas Limited

1. Dealing in Securities as Principal &Agent
2. Arranging Deals.
3. Managing Securities
4. Advising on Securities

EuroBanco Bank Limited

1. Dealing in Securities as Agent

Exmer Partners Limited

1. Managing Securities

Equity Trust House, Caves Village,
West Bay Street

Page 9Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIESADDRESS

P.O. BOX

212 Church St., Sandyport, West
Bay Street

CEO

COMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

SP-62238

Flavio De Paulis

Nathan Adderley

N/A

Alessandro Russo

Alessandro Russo

Extiber Ltd.

1. Managing Securities
2. Advising on Securities

FAM Fund and Asset Management
Ltd.

1. Managing Securities
2. Advising on Securities

Halsbury Commercial Centre, Suite#2, Vilage Road North

SS - 19689

Christian Coquoz

Indira Ferguson

N/A

Christian Coquoz

Christian Coquoz

Faro Capital Investors Ltd.

1. Arranging Deals
2. Advising on Securities

4th Floor, Lyford Cay House,
Western Rd

N-7776

Federico Andres Riege

Edison Neely

N/A

Khalila Tsavousis-Duncombe

N/A

FC Capital Investments Ltd.

1. Managing Securities
2. Advising on Securities#4 Pineapple Grove,
Western Road,
Lyford Cay

SS-19027

Alexander Martin Murbach

Edison Neely

N/A

Leo Betschart; Tiffany Jones

Leo Betschart; Tiffany Jones

Fidelis Advisors Ltd.

1. Managing Securities
2. Advising on Securities#4 Pineapple House, Lyford Cay

SP-64284

Miles Evans

Wanda Maycock

N/A

Miles Evans;
Osman Amre Youness

Miles Evans;
Osman Amre Youness

Office #2, Building #8, Caves
Village Professional Centre, West
Bay Street

CB-11903

Carlos Walton

Ricardo Leandro Villalba

Carlos Walton

N/A

N/A

1. Dealing in Securities as Principal &AgentFirstCaribbean International Bank
2. Arranging Deals.
Financial Centre, 2nd Floor, Shirley
3. Managing Securities
Street4. Advising on Securities

N-3221Jacqueline Bend

Alicia Shalle Stuart

Gina Mackenzie; Sean Blyden;
Brent Haines; Damingo L. Weir

Brent Haines; Damingo L. Weir

First Overseas Bank Limited

FirstCaribbean International Bank
(Bahamas) Limited

1. Dealing in Securities as Principal &AgentPage 10Gina Mackenzie

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

FirstCaribbean International Trust
Company (Bahamas) Limited

CATEGORIES

1. Dealing in Securities as Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

1. Dealing in Securities as Principal &First Prudential Markets (Global) Ltd. Agent
2. Arranging Deals

Fitpart Fund Administration Services 1. Managing Securities
Ltd.
2. Advising on Securities

ADDRESS

P.O. BOX

1st Floor Goodman's Bay
Corporate Centre, West Bay Street& Seaview Drive

N-3933CEOCOMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

Perry A Rolle

Joan Rahming

Nicolette Remelda Deal

(Vacant)(Vacant)

Craig Mckinlay Allison(Vacant)

Thomas Peter Roberts

N/A

N/A

CB-13515

Fernando Prado

Indira Ferguson

N/A

Fernando Prado

Fernando Prado

Sea Sky Lane Sandyport,
West Bay Street

Bahamas Financial Centre, 4thfloor, Shirley & Charlotte Streets

FK Capital Management Ltd.

1. Managing Securities
2. Advising on Securities

2nd Floor Goodman's Bay
Corporate Center
Nassau, Bahamas

SP-61567

Jorge Finkler Braverman

Indira Ferguson

N/A

Jorge Finkler Braverman; Eduardo Finkler Bravermen

N/A

Fusion Markets Ltd.

1. Dealing in Securities as Principal or
Agent
2. Arranging Deals
and trading CFD's

One West Business Plaza
Nassau, Bahamas

N/A

Dave Smith

Tina GlintonDavid Swinden

N/A

N/A

FxPro Global Markets Ltd.

1. Dealing in Securities as Principal &Agent

Lyford Manor, Western Road,
Nassau, Bahamas

N-7776

Denis Sukhotin

Eduardo Gavotti

Denis Sukhotin

N/A

N/A

GEM Global Equities Management
S.A.

1. Managing Securities
2. Advising on Securities

N-9204

Anthony Inder Rieden

Eric Strachan

N/A

Anthony Inder Rieden

Anthony Inder Rieden

Templeton Building, West Bay
StreetPage 11

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIESGlobal Advisors Partners Ltd.

1. Managing Securities
2. Advising on Securities

Gonet Bank & Trust Limited

1. Dealing in Securities as Principal &Agent
2. Arranging Deals.
3. Managing Securities
4. Advising on Securities

Green Cay Advisory Ltd.

1. Managing Securities
2. Advising on Securities

Gryphon Investment Advisors
Bahamas Limited

1. Arranging Deals.
2. Managing Securities
3. Advising on Securities

ADDRESS

P.O. BOXCEOCOMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

N-9471

Alexandre Vancoff

Edgar Seligman

N/A

Ivano Alliata
Alexandre Vancoff

Alexandre Vancoff,
Ivano Alliata

Offices at Old Fort Bay, West Bay
St.

SP-61302

Jonathan Cartwright

Wendell Alick GardinerIngrid Taylor; Valentin Sevilla;
Valerie Garcia

Ingrid Taylor; Valentin Sevilla; Patrick Guye-Bergeret;Valerie Garcia

Ingrid Taylor; Valentin Sevilla;
Valerie Garcia

Building #2, Caves Village

N-7776

Joseph Byrne

Indira Ferguson

N/A

Joseph Byrne

Joseph Byrne

Ira Z. Crystal

Alva Henfield

N/A

Ira Z. Crystal

Ira Z. Crystal

3rd Floor
Coin of the Realm Building
Charlotte Street

Albany Financial Center
South Ocean Blvd
Nassau, Bahamas

1. Dealing in Securities as Principal or
Agent, including underwriting
2. Arranging deals in Securities

Sea Sky Lane, Sandyport, Nassau,
BahamasN/A

Dimitar Dobrinov Getov

Gerogianne Robinson

Dimitar Dobrinov Getov

N/A

N/A

Holdun Family Office (Bahamas)
Limited1. Managing Securities

Albany Financial Center Suite 303

SP-63158

Brendan Dunn

Kristy Kemp

N/A

N/A

Brendan Dunn

Holowesko Partners Ltd.

1. Managing Securities
2. Advising on Securities

Shipston House, West Bay Street,
Lyford Cay

N-7776(78)Mark Holowesko

Karen Zyp

N/AMark Holowesko, Richard Farrington, Gregory Cleare,
Christopher Maura

Mark Holowesko, Richard
Farrington, Gregory Cleare,
Christopher Maura

High Tech Invest Limited

Page 12

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIES

Huber Management Ltd.

1. Managing Securities
2. Advising on Securities

IC Markets Ltd.

Inteligo Bank Ltd.

Investar Securities Ltd.

ITG Bahamas Inc.

IX Capital Group Limited

J. Safra Sarasin Asset Management(Bahamas) Ltd.

1. Dealing in Securities as Principal or
Agent, including underwriting

1. Dealing in Securities as Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

1. Managing Securities

1. Dealing in Securities as Agent or
Principle
2. Arranging Deals
3. Advising on Securities
1. Dealing in Securities as Agent or
Principal
2. Arranging Deals
3. Managing Securities

1. Managing Securities
2. Advising on Securities

ADDRESS

P.O. BOXTop Floor No. 1, CUB Financial
Center, Lyford Cay, Nassau,
BahamasCEOCOMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

N-7139Bernard Huber

Jennifer Wells

N/A

Bernard Huber
Juan Zatarain

Bernard Huber
Juan Zatarain

Western Business Center,
Unit 3B, Upper Floor
Western Road,
Nassau, Bahamas

N-272

La'Tonia Symonette-Tinker

Theresa Haven-Adderley

Andrew Budzinski

N/A

N/A

1st Floor, Seventeen Shop
Building, Fourth Terrace, Collins
Avenue, Nassau, Bahamas

N-3732

Bruno Ferreccio Del Rio

Silka Yaneth Rodriguez
MendezBruno Ferreccio Del Rio

Bruno Ferreccio Del Rio

Bruno Ferreccio Del Rio#14 University Drive

SS-19086

Ansel Watson

Omar Sands

N/A

N/A

Ansel Watson

Benjamin A. Shaw

Marcia Meeres

Benjamin A. Shaw

Benjamin A. Shaw

N/A

N-3406

Anthony Stubbs(Vacant)(Vacant)

N/A(Vacant)

CB-10988

Daniel Kamkahji

Helene Virginie Tison Duhaze

N/A

Daniel Kamkahji

Daniel Kamkahji

Templeton Building,Western Road,
Nassau Bahamas

201 Church Street,
Sandyport, West Bay Street

Lyford Financial Centre, Building 2,
Western Road, Lyford Cay

Page 13

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIES

Jefferson Capital Limited

1. Managing Securities
2. Advising on Securities

Kirkoswald Global Management
Services Ltd.

1. Dealing in Securities as Principal &Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

ADDRESS

P.O. BOX

5th Floor 308 East Bay Street

CEO

COMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

N-9058Ali Bilgrami

Shonalee Munroe

N/A

Khofiz Shakhidi

Ali BilgramiSuite 4B, Albany Financial Centre
Lewis Drive
Nassau, Bahamas

SP-63158

Gregory CoffeyDavid Abdo Hassan

Gregory Coffey

Gregory Coffey

Gregory Coffey

5 North Buckner Square
Olde Towne, SandyportWest Bay Street

N-272

Sean Munnings

Philip Dorsett

Rosario Jean Frederic Perfetto

N/A

N/A

Leno Corporate Services Limited

1. Dealing in Securities as Principal &Agent
2nd Floor Pineapple Place, Bernard
2. Arranging Deals
Road
3. Managing Securities
4. Advising on Securities

N-8339Sean Longley

Darcy Delaney

Kerah Farquharson;
George A. White;
Sonia Beneby

Kerah Farquharson;
George A. White;
Sonia Beneby

Levant Advisors Ltd.

1. Managing Securities
2. Advising on Securities

CB-12407

Angelo Butler

Prescott Adderley

N/A

Anthony Ferguson

Anthony Ferguson

Levant Securities Ltd.

1. Dealing in Securities as Principal &Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

CB-12407

Anthony Ferguson

Prescott Adderley

Anthony Ferguson

Anthony Ferguson

Anthony Ferguson

LCG Capital Markets Limited

1. Dealing in Securities as Principal &Agent
2. Arranging Deals

3rd Floor Bayview House, #308
East Bay Street

Bayside Executive Park, No. 3,
West Bay Street & Blake Road,
Nassau, Bahamas

Page 14

N/A

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIESADDRESS

P.O. BOX

N-7776CEOCOMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

Riccardo Romani

Calvin Rolle

N/A

Riccardo Romani;
Rosella Dack

Riccardo Romani;
Rosella Dack

Lyndon Lea

Nathan Adderley

N/A

Lyndon Lea

Lyndon Lea

Craig Lines

Jalinka Strachan(Vacant)

Nakhazia Gay

N/A

Claudio Godenzi;
Maurice Chiacchiari;
Alberto Inguaggito;
Lea Dana;
Edward Zouein;

Claudio Godenzi;
Maurice Chiacchiari;
Alberto Inguaggito;
Lea Dana;
Edward Zouein

Lighthouse Asset Management Ltd.

1. Managing Securities
2. Advising on Securities#3 Pineapple Grove
Old Fort Bay
Western Road

Lion Capital Partners Ltd.

1. Arranging Deals
2. Managing Securities
3. Advising on Securities

Caves Village , Building 2
West Bay Street

LOM Financial (Bahamas) Limited

1. Dealing in Securities as Principal & Building 4 Caves Village , West Bay
AgentStreet2. Advising on Securities

Lombard Odier & Cie (Bahamas)
Limited1. Dealing in Securities as Principal &AgentGoodman's Bay Corporate Centre,
2. Arranging Deals
West Bay Street & Seaview Drive
3. Managing Securities
4. Advising on Securities

N-4938

Eduard Zouein

Venetia Maura(Vacant)

LT Green Capital Investment Limited

1. Managing Securities
2. Advising on Securities

CB-12407

Edson Ito

Indira Ferguson

N/A

Edson Ito

Edson Ito

Lydda Capital Ltd.

1. Dealing in Securities as Principal or
Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

CB-12407

Anthony Ferguson

Precott Adderley

Anthony Ferguson

Anthony Ferguson

Anthony Ferguson

Macro Bank Limited

1. Dealing in Securities as Agent
2. Arranging Deals

N-4444Rosina Simeto

Stella Giani

Rosina Simeto

N/A

N/A

3rd Floor Bayview House, 308 East
Bay Street

Bayside Executive Park, No. 3,
West Bay Street & Blake Road,
Nassau, Bahamas

Building 8 Office 1, Caves Village,
West Bay Street

AB-12762

Page 15

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIESADDRESS

P.O. BOXCEOCOMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

Magellan Securities Limited

1. Managing Securities
2. Advising on Securities

Suite 232, The Island Lane Building,
The Olde Towne at Sandyport

CB-13366

Robert Davidowski

Nathan Adderley

Meredith Miller;
Destiny Rollins
Michael SlackRobert Davidowski;
Ian Towell;

Robert Davidowski

Magnum Global Advisors Ltd.

1. Managing Securities

APMS House, #8 Pineapple Grove,
Old Fort Bay, Western Road,
Nassau, Bahamas

SS-19689

Christian Coquoz

Indira Ferguson

N/A

N/A

Christian Coquoz

Marlin Capital Partners Limited

1. Managing Securities
2. Advising on Securities

CUB Financial Centre,
Western Road,
Nassau, Bahamas

N-4469Zachary Lyons

Indira Ferguson

N/A

Zachary Lyons;
Andrew Pajakowski

Zachary Lyons;
Andrew Pajakowski

Metainvest Capital Management Ltd.

1. Managing Securities
2. Advising on Securities

212 Church Street, Old Towne
Sandyport

N-3205

Riccardo Sigon

Latonia Symonette-Tinker

N/A

Riccardo Sigon

N/A

Mint Capital Advisors Ltd.

1. Managing Securities

Templeton Building, West Bay
Street

N-9204Eric Strachan

Neil Major

N/A

N/A

Eric Strachan

MMG Bank & Trust Ltd.

1.Dealing in Securities as Agent
2. Managing Securities
3. Advising on Securities

Suite 102, 1st Floor, Saffrey
Square, Bay Street & Bank Lane

N-4889Pachridee Hanna-Ferguson

Cecil Ferguson(Vacant)(Vacant)(Vacant)

Mosaic Financial Ltd.

1. Dealing in Securities as Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

Offices at Old Fort Bay Building #4,
Western Road

SP-63771

Shameka Fernander

Laterio Culmer

Shameka Fernander

Robert Jensen

Robert Jensen

Nexor (Bahamas) Ltd.

1. Managing Securities
2. Advising on Securities

Suite 508
Albany Financial Center, South
Ocean Boulevard,

AP-59205-3380

Daniel-Marc BrunnerMichelle Bain

N/A

Werner Gruner;
Daniel-Marc BrunnerDaniel-Marc Brunner

Page 16

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIESADDRESS

P.O. BOX

No. 83 East Bay Street

No. 3 Offices Old Fort Bay,Western Rd.

CEO

COMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

EE 16320

N'Nhyn Mhlln Fernander(Vacant)

Oswald Frederick Moore

N/A

N/A

SP-63157

George Pericles Maillis

Nathan Adderley

N/A

George Pericles Maillis
James Walker

George Pericles Maillis
James Walker
Pablo Fuertes

O'Cof Securities Limited

1. Dealing as agent only including
underwriting; and2. Arranging deals in securities

Octogone Fund Management Ltd.

1. Managing Securities
2. Advising on Securities

Oracle Capital Advisors Ltd.

1. Dealing in Securities as Agent
2. Managing Securities
3. Advising on Securities

Suite 205A Saffrey Square, Bank
Lane and Bay Street

N-9934Oleg Nikityuk

Raynell Miller

Oleg Nikityuk

Oleg Nikityuk

Oleg Nikityuk

Palm Global Capital Ltd (Formally
Destek Global Limited)

1. Dealing in Securities as Agent or
Principal
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

Bayside Executive Park, No. 3,
West Bay Street & Blake Road,
Nassau, Bahamas

CB-12407

Anthony Ferguson

Prescott Adderley

Anthony Ferguson

Anthony Ferguson

Anthony Ferguson

Pepperstone Markets Limited

1. Dealing in Securities as Agent or
Principal, including Underwriting
2. Arranging Deals
3. Managing Securities

No. 2 Compass Point Studios,West Bay Street,
Nassau, Bahamas

Reece Chipman

Duhiza Taylease S. Smith(Vacant)

N/A(Vacant)

Phoenix Capital Ltd.

1. Managing Securities
2. Advising on Securities

212 Church Street, Old Towne
Sandyport

Luca Carlo Pasquale Lanciano

LaTanya Hamilton

N/A

Luca Carlo Pasquale Lanciano;
Carla Taylor

Luca Carlo Pasquale Lanciano;
Carla Taylor

SP-64377

Page 17

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIESADDRESS

Pictet Bank & Trust Limited

1. Dealing in Securities as Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

Platinum Portfolio Management Ltd.

1. Managing Securities
2. Advising on Securities

Plotio Global Financial Limited

1. Dealing in Securities as Agent or
Principal, including underwriting
2. Arranging Deals in Securities

Capital Union Bank Financial
Centre, Western Road, Lyford Cay,
Nassau, Bahamas

PLUS500BHS Ltd

1. Dealing in Securities as Agent or
Principal, including underwriting

Bayside Executive Park, No. 3,
West Bay Street & Blake Road,
Nassau, Bahamas

Prevatt Capital Ltd.

1. Managing Securities
2. Advising on Securities

P.O. BOXCEOCOMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

Monica Millers; David Diaz; Jeremy Stuby; Isabelle Fiaux;
Jose Suarez; Karol Czartoryzki; Carlos De La Torre;ManuelGarcia; Jose Antonio Gago; Fernando Luperi Guerra; Nikola
Ruzicic-Kessler; Kristen N. Sweeting; Dionne Curry; Jeremy
Proffitt

David Diaz;
Nikola Ruzicic-Kessler;
Typres Sturrup

Bayside Executive Park, Building 1,
West Bay Street & Blake Road

N-4837(Vacant)

Janique Duvalier

Tamica Rolle; Donna Storr;
Miriam Scott; Nikola RuzicicKessler; Kristen N. Sweeting;
Melan Georges

Suite #200, 1 Marina Drive
Sterling Commons
Paradise Island
Nassau, The Bahamas

N-1812Blair Robert Panes

Sunita Maharaj-Bonamy

N/ABlair Robert Panes

Blair Robert Panes

N-1879Vincent Laurent King

Latonia Symonette-Tinker

Tsz Hong Fung

N/A

N/A

Prescott Edvardo Adderley

Sherella Vernetta GibsonSturrup

Anthony Robert Ferguson

N/A

N/A

Jonathan Israel Tepper

Indira Ferguson

N/A

Jonathan Israel Tepper

Jonathan Israel Tepper

Lyford Cay House, Western Road

N 7512

Page 18

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

Prex Markets Limited

CATEGORIES

1. Dealing in Securities as Agent

Primo Investment Advisors Limited

1. Managing Securities
2. Advising on Securities

Providence Advisors Limited

1. Dealing in Securities as Principal &Agent
2. Arranging Deals.
3. Managing Securities
4. Advising on Securities

Q I Advisors (Bahamas) Ltd.

1. Managing Securities
2. Advising on Securities

Quantfury Trading Limited

1. Dealing in Securities as Principal &Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

ADDRESS

P.O. BOX

Balmoral Corporate Centre,
2nd Flr, Unit C, Suite B,
Sanford Drive

2 Lyford Cay Financial Centre,
Western Road,
Centre of Commerce
Nassau, Bahamas

1st Floor, Goodman's Bay
Corporate Centre#3 Windsor Business Park
Nassau, Bahamas

Lyford Cay House, 4th Floor,
Western Road, Nassau, Bahamas

CEO

COMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

P.O. Box SP-63191

Keva Ferguson

Shelby Brice(Vacant)

N/A

N/A

SP-63948

Ecio Silva

Indira Ferguson

N/A

Ecio Silva

Ecio Silva

AP-59223-409

Kenwood Kerr

Indira Ferguson

Carrol Burrows

N/A

Kenwood Kerr;
Carrol Burrows

SP-63035(Vacant)

Kristy Kemp

(Vacant)

Alma McIntosh(Vacant)

CB 12407

Ali Pourdad

Prescott Adderley(Vacant)(Vacant)(Vacant)

Page 19

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIESADDRESS

P.O. BOXCEOCOMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REPJohn Rodney Bond;
Carol Denis Newbold;
Sophia Eloise McKenzie;Francisco Goncalves;
Gregory Metrailler

Francisco Goncalves;
Gregory Metrailler

RBC Dominion Securities (Global)
Limited1. Dealing in Securities as Principal &AgentSuite 201, Albany Financial Center,
2. Arranging Deals.
South Ocean Boulevard
3. Managing Securities
4. Advising on Securities

N-3234

Andrew McCartney

Mario Smith

John Rodney Bond;Francisco Goncalves;
Gregory Metrailler; Amelia
Jenice Bain

Renhe Financial Services Limited

1. Dealing in Securities as Agent
2. Arranging Deals

Sea Sky Lane, Sandyport, Nassau,
BahamasN-3406(Vacant)(Vacant)

Yi Zhou

N/A

N/A

RIA Company Ltd.

1. Managing Securities

Winterbotham Place, Malborough& Queen Streets

N-3026

Alejandro Luis Barroetavena

Anja Marie Charles

N/A

N/A

Alejandro Luis Barroetavena

RF Bank & Trust (Bahamas) Limited
1. Dealing in Securities as Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

Belinda Payne;
Quentin Euriel Gibson;
Charmaine Williams

Fidelity Financial Centre, 51
Frederick Street

N-4853

Michael Anderson

Garnal Brown

Rawson Square, Bay Street,
Nassau, Bahamas

N-7518

Roger Archer

Rico Russell

Deno Moss;
Janae Francis-Ingraham

Deno Moss;

N-4865

Steven Michael Videla

Helena Sturrup

Steven Michael Videla

N/A

Steven Michael Videla

N/A

Jean-Marc Wenger

Indira Ferguson

N/A

Jean-Marc Wenger;
Joel Johnson

Jean-Marc Wenger;
Joel Johnson

Scotiabank (Bahamas) Limited

1. Dealing in Securities as Principal &Agent
2. Arranging Deals.
3. Managing Securities
4. Advising on Securities

Seacapital Ltd.

1. Dealing in Securities as Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

Bahamas Financial Centre, 3rd
Floor, Shirley & Charlotte Streets,
Nassau,Bahamas

Sinclair Asset Management Ltd.

1. Managing Securities
2. Advising on Securities

CUB Financial Center, Room TF3,
Lyford Cay, Nassau, Bahamas

Page 20

Tishrea Grey;
Dominic Ajvon Stubbs ;Patrick Ferguson

Cleora Fraquharson;
David Craig Van Onselen;David Slatter(Vacant)

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIESADDRESS

P.O. BOX

Cumberland House, 15
Cumberland Street

CEO

COMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

SP-64111

Keva McPhee

Nicolette Krystina Campell

N/A

N/A

Keva McPhee#83 East Bay Street,
Nassau, Bahamas

SP-64427

Alicia Smith(Vacant)

Constantinos Kappai
James Alexander Smith

N/A

N/A

Christopher Claude ColeSIS Solutions Ltd.

1. Managing Securities

ST Global Markets Ltd.

1. Dealing in Securities as Agent

Sterling (Bahamas) Limited

1. Arranging Deals
2. Managing Securities
3. Advising on Securities

Suite 205A, Saffrey SquareBank Lane and Bay Street Nassau
BahamasN-9934

Alan Edward Cole

Raynell Naomi Miller

Christopher Claude Cole

Christopher Claude Cole

Sterling Financial Group Inc.

1. Managing Securities
2. Advising on Securities

81 East Bay Street, Nassau,
BahamasN-1812David Kosoy(Vacant)

N/A

David Kosoy;
Stephen Tiller;

1. Managing Securities

2nd Terrace West, Centreville

N-7755

Olivier Chaponnier

Indira Ferguson

N/A

N/A

1. Managing Securities

Halisbury Commercial Centre, #10,
Village Road, Nassau, Bahamas

SS-6333

Jorge Isaac Moreira Barrow

Rosemary Barrett

N/A

N/A

Talent Asset Management Limited

1. Managing Securities
2. Advising on Securities

INCUDESK West, Windsor Field
Rd., Old Fort Bay Town Centre,
Buildng #3, Suit #13,
Nassau, Bahamas

N-3026

Jose Ignacio Chercasky

Anja Marie Charles

N/A

Jose Ignacio Chercasky

Techfin Markets Limited

1. Dealing in Securities as Principal or
Agent, including underwriting
2. Arranging Deals

Capital Union Bank Financial
Centre, Lyford Cay, Nassau,
BahamasN-1879Theresa Haven-Adderley

Latonia Symonette-Tinker

Christos Barris; Andreas
Yiangou

N/A

Stone Tower Management Ltd.

Swan Capital Ltd.

Page 21David Kosoy;
Stephen Tiller

Olivier ChaponnierMarco Albert Montanari

Jorge Isaac Moreira Barrow

Jose Ignacio Chercasky

N/ASecurities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

CATEGORIESADDRESS

P.O. BOX

Templeton House, Lyford Cay,
Nassau, Bahamas

CEO

COMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

N-7759Christopher Peel

Peter Palleija

N/APeter Manfred Moeschter;
Warren Pustam

Christopher Peel;
Peter Manfred Moeschter;
Warren Pustam

N-3016

Neil Macdonald

Malissa Taylor

Jerome Franks
Locksley Knowles II

Jerome Franks;
Juan Giraldo
Locksley Knowles II

Jerome Franks
Locksley Knowles II

Charlene Storr;
Bruno Roberts

N/A

N/A

Jessica Thornley-MitchellDavid Thain

N/A

N/A

Templeton Global Advisors Limited

1. Managing Securities
2. Advising on Securities

The Bank of Nova Scotia Trust
Company (Bahamas) Ltd.

1. Dealing in Securities as Principal &Agent
2. Arranging Deals.
3. Managing Securities
4. Advising on Securities

The Private Trust Corporation
Limited1.Dealing in Securities as Agent
2. Arranging Deals

2nd Floor, Charlotte House, Shirley& Charlotte Streets

N-65

Adrian Crosbie-Jones

Natasha Dean

The Winterbotham Trust Company
Limited1. Dealing in Securities as Agent
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

Winterbotham Place, Marlborough& Queen Streets

N-3026

Ivan Hooper

Anja Marie Charles

Toredo Ltd.

1. Dealing in Securities as Principal or
Agent
2. Arranging Deals
and trading CFD's

Jason Oliver

Candice A. McPhee

Scotia House, 404 East Bay Street

Old Fort Bay Town Center
Windsor Field Rd.
Nassau, Bahamas

Page 22

Ivan Hooper;
Jessica Thornley-Mitchell;
Andrea Quant

Stefanos Kashiouris

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEE

Trade Nation Ltd.

TradeZero Inc.

CATEGORIES

1. Dealing in Securities as Principal or
Agent, including underwriting
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

1. Dealing in Securities as Principal or
Agent

ADDRESS

Bayside Executive Park, No. 3,
West Bay Street & Blake Road,
Nassau, Bahamas

436 West Bay Street
Nassau, Bahamas

P.O. BOXCEOCOMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

CB-12407

Richard Daniel Nathan

Aruna Tara Rodgers

Anthony Ferguson

Anthony Ferguson

Anthony Ferguson

SP-62904

Kay Briggs

Scymont Fountain

Kay Briggs

N/A

N/A

N/A

Clement Ducasse

Indira Ferguson

Clement Ducasse

Clement Ducasse

Clement Ducasse

UCAP Bahamas Limited

1. Dealing in Securities as Principal or
Agent, including underwriting
2. Arranging Deals
3. Managing Securities
4. Advising on Securities

WG Capital Ltd.

1. Dealing in Securities as Principal &AgentUnit A, Balmoral Corporate Center,
2. Arranging Deals
Balmoral Development
3. Managing Securities
4. Advising on Securities

AP-59223
Slot 501

Stavros Spyropoulos

Shelby BriceChandra Wallace-Whitfield(Vacant)(Vacant)

Wincrest Capital Ltd.

1. Arranging Deals.
2. Managing Securities
3. Advising on Securities

3rd Floor, CUB Financial Center,
Lyford Cay

N-7776

Barbara Ann Bernard

Indira Ferguson

N/A

Barbara Ann Bernard

Barbara Ann Bernard

Windermere Corporate Management
1. Managing Securities
Limited200 Sterling Commons, Harbour
Drive, Paradise Island, Nassau,
BahamasN-7797, Suite A-084

John Lawrence

Millicent Clarke

N/A

N/A

John Lawrence

CUB Financial Center,
Lyford Cay,
Nassau, Bahamas

Page 23

Securities Industry Act, 2011

Registrants as at 31 March 2024
Registered Representatives
LICENSEEXL Partners Ltd.

CATEGORIES

1. Managing Securities
2. Advising on Securities

ADDRESS

P.O. BOX

APMS House#8 Pineapple Grove, Old Fort Bay,Western Road,
Nassau, The Bahamas

N/A

CEO

COMPLIANCE OFFICER

TRADING REPADVISING REPMANAGING REP

Mitsuo Alves

Indira Ferguson

N/A

Mitsuo Alves

Mitsuo Alves

Page 24