List of Broker Dealers

 

Name of Broker-Dealer Classes of Business 
AIC Securities Limited Broker, Dealer, Investment Adviser, Underwriter
Akan, Myrnelle V.**  
Alviar, Oscar**  
Amanah Securities Limited Broker
Ansa Merchant Bank Limited Broker (G), Dealer, Investment Adviser, Underwriter
Ansa Securities Limited Dealer, Investment Adviser,Underwriter
Bourse Brokers Limited Broker, Dealer, Investment Adviser,Underwriter
Bourse Securities Limited Broker, Dealer, Investment Adviser, Underwriter
Caribbean Stockbrokers Limited Broker, Dealer, Investment Adviser, Underwriter
Carrera-Justiz, Francisco**  
Citicorp Merchant Bank Limited Broker (G), Dealer, Underwriter
Clouden, Randolph**  
Development Finance Limited Dealer, Investment Adviser, Underwriter
First Citizens Asset Management Limited Dealer, Investment Adviser, Underwriter
First Citizens Bank Limited1 Broker (G), Investment Adviser, Underwriter
First Citizens Brokerage and Advisory Services Limited Broker, Dealer, Investment Adviser, Underwriter
First Citizens Investment Services Limited Broker, Dealer, Investment Adviser, Underwriter
First Citizens Securities Trading Limited Dealer, Investment Adviser, Underwriter
FirstCaribbean International Bank (Trinidad & Tobago) Limited Dealer, Investment Adviser, and Underwriter
Firstline Securities Limited Dealer, Investment Adviser, Underwriter
General Finance Corporation Limited Dealer, Investment Adviser, Underwriter
GraceKennedy (Trinidad and Tobago) Limited  Dealer, Investment Adviser and Underwriter 
Guardian Asset Management and Investment Services Limited2 Broker, Dealer, Investment Adviser, Underwriter
Guardian Asset Management Limited Broker, Dealer, Investment Adviser, Underwriter
Intercommercial Bank Limited3 Broker (G), Dealer, Investment Adviser, Underwriter
Intercommercial Trust and Merchant Bank Limited Dealer, Investment Adviser, Underwriter
JMMB Investments (Trinidad and Tobago) Limited Broker, Dealer, Investment Adviser and Underwriter
KCL Capital Market Brokers Limited Broker, Dealer, Investment Adviser, Underwriter
KSBM Asset Management Limited Broker, Dealer, Investment Adviser, Underwriter
Maritime Capital Limited Dealer, Investment Adviser and Underwriter 
Montes, Francisco**  
Murphy Clarke Financial Limited Dealer, Investment Adviser, Underwriter
Padmore, Winston**  
RBC Merchant Bank (Caribbean) Limited Broker, Dealer, Underwriter
Republic Bank Limited Dealer, Investment Adviser, Underwriter
Republic Finance and Merchant Bank Limited Underwriter
Republic Securities Limited Broker, Invetsment Adviser
Sagicor Asset Management (Trinidad and Tobago) Limited  Dealer, Investment Adviser, Underwriter
Sagicor Life Incorporated Dealer, Investment Adviser, Underwriter
Scotia Investments (Trinidad and Tobago) Limited Broker, Dealer, Investment Adviser, Underwriter
Scotiabank Trinidad & Tobago Limited Underwriter
Scotiatrust and Merchant Bank (Trinidad and Tobago) Limited Dealer, Investment Adviser, Underwriter
Sheppard Securities Limited Broker
The Home Mortgage Bank  Dealer and Underwriter 
Trinidad and Tobago Unit Trust Corporation Broker (G), Dealer, Investment Adviser, Underwriter
West Indies Stockbrokers Limited Broker, Dealer, Investment Adviser, Underwriter

 

1 First Citizens Bank Limited’s ability to conduct brokerage in Government of Trinidad and Tobago bonds was suspended with effect from March 25, 2014
2 Guardian Asset Management and Investment Services Limited’s ability to conduct business as a broker was suspended with effect from August 1, 2014
3 Intercommercial Bank Limited’s registration as a Broker-Dealer was suspended with effect from March 9, 2015
 
“** – These are individuals who were previously registered as independent Brokers in their individual capacities. Further to section 53(1)(a) of the Securities Act, 2012 these individuals are deemed to be Broker-Dealers until the earlier of either:
a. 30 days from the date of the Commission’s publication of notification that the Securities General By-Laws 2015 have come into force; or
b. June 30, 2015.