It’s A Great Time To Be An Independent Wealth Management Dealer

This panel is going to explore why it's a good time to be an independent and discuss the opportunities and challenges facing independent dealers

Bill Charles

Global Maxfin Investments

Bill Charles is the Chief Executive Officer of Global Maxfin Investments Inc. and Global Insurance Solutions Inc. In this role, he is responsible for the overall leadership, direction, growth and profitability of the MFDA Dealership and MGA Business. He also acts as the UDP for the MFDA Dealer.

Bill assumed this role in May 2018 after 27 years with Investors Group. He started in the industry as an Advisor and quickly built up a large book of assets and insurance before moving to the Branch Manager role. As a Branch Manager, Bill built one of the fastest growing and most successful offices in Canada for 13 years. He, then, became Senior Vice President overseeing all aspects of Distribution, Sales, Asset Growth and 2000 Advisors in Ontario and Atlantic Canada.

He has also been a key note speaker on many different occasions; has spoken at the IFIC Annual Conference and the Investment Funds Forum regularly and has participated in the OSC round tables.

Bill served on the Board of Directors of the MFDA from 2011 to 2013. He is currently on the Board of The Investment Funds Institute of Canada (IFIC) and The Federation of Independent Dealers. He is a former member of the Board of Directors of the Brampton Rotary Club. Bill is also very active in many sports and coaching. He holds a BA (Finance & Economics) from the and is a Certified Financial Planner.

Helen Hsia
Portfolio HiWay

Helen Hsia is the Chief Compliance Officer (CCO), Chief Risk Officer (CRO) and Board Director of PortfolioHiWay. She began her investment career at Canadian ShareOwner Investments, which was later acquired by Wealthsimple. During her tenure at Wealthsimple, Helen held the roles of VP and CCO, where she played a key role in scaling digital business operations and working closely with regulators and other fintech businesses. Most recently, Helen served as Vice President of Digital Investment Programs at Canso Investment Counsel. She has completed numerous industry courses, including the CSC, CPH, PDO, CCO, TTC, BMC and EMP. With over 25 years of experience in the dealer business, Helen has expertise in leading client relations, enhancing digital experiences, developing products and platforms, online trading, compliance, strategic development, and scaling businesses. She is also dedicated to mentoring those entering capital markets and volunteers her time as a Mentor.

Gillian Kunza

Designed Securities

As CEO of Designed Securities Ltd, Canada’s fastest organically growing, dual registered dealer Gillian Kunza is recognized as a leader with strong strategic instincts and brings a creative and fresh approach to the ‘client and advisor first’ mindset. With over 15 years experience in the industry as a CEO, CCO, CFO and UDP, she has seen the challenges faced by advisors, dealer head offices, and by staff and is committed to bringing innovative and well-rounded solutions to the forefront. With a background as a Chartered Professional Accountant, her leadership is inclusive of many perspectives and aims to ensure clients and their advisors have the right tools and resources in place to pursue their financial well being.

She works collaboratively with advisors and industry peers to pursue modernization in the wealth management industry and is an advocate of gender representation in senior leadership roles.  

She holds her Master’s of Business Administration from the Rotman School of Management, holds her Chartered Investment Manager designation and is a Fellow of CSI designation holder. She currently sits on the CPA Ontario Council as a Council Member-at-large, serves on CIRO’s Ontario Regional Council, and is the vice-chair of CIRO’s Conduct, Compliance & Legal Advisory Section committee. Outside of the industry she performs and produces music, ranging from opera, to country, to dance music.

Richard Pyper
Monarch Wealth

CEO of Monarch Wealth and EXOS Wealth Systems, Inc., and president of Customplan Financial Advisors Inc., Richard plays a pivotal role in shaping the company’s course. His responsibilities encompass identifying market opportunities, crafting long-term strategies, and ensuring the organization’s unwavering commitment to innovation and competitiveness. Richard sits on the boards of prominent financial institutions: Barrington Wealth Partners, Roche Tax and Accounting Services, and Customplan Financial Advisors Inc.