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GMP Capital Inc (GMP.TO)

GMP.TO on Toronto Stock Exchange

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17 Oct 2018
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Summary

Name Age Since Current Position

Donald Wright

70 2012 Independent Chairman of the Board

Harris Fricker

53 2010 President, Chief Executive Officer, Director

Kevin Sullivan

58 2010 Deputy Chairman of the Board

Trent Boehm

Vice Chairman, Co-Head - Energy Sales and Trading of GMP FirstEnergy

Christopher Bond

2016 Vice Chairman, Head - Institutional Trading - GMP Securities

John Chambers

Vice-Chairman, President, GMP FirstEnergy

Stephen Harris

2012 Vice-Chairman, Head - Research, GMP Securities

Nicholas Johnson

Vice Chairman, Co-Head - Energy Investment Banking, GMP FirstEnergy

Kevin Overstrom

2014 Vice-Chairman, Co-Head - Energy Investment Banking, GMP Securities

Robert Weir

Vice-Chairman, Head - Institutional Equity Sales, GMP Securities

Deborah Starkman

2012 Chief Financial Officer, Corporate Secretary

Eugene McBurney

69 2016 Chairman, GMPEmerging Market, Director

Robert Schoenthal

President, GMP USA

Christopher Hill

Chief Compliance Officer

David Brown

59 2014 Independent Director

David Ferguson

66 2014 Independent Director

Kishore Kapoor

61 2018 Independent Director

Fiona Macdonald

63 2013 Independent Director

Biographies

Name Description

Donald Wright

Mr. Donald Arthur (Don) Wright serves as Independent Chairman of the Board of GMP Capital Inc. Mr. Wright is currently President and Chief Executive Officer of The Winnington Capital Group Inc. He is an active investor in both the private and public equity markets. Mr. Wright’s career has spanned over 40 years in the investment industry. He has held a number of leadership positions, including President of Merrill Lynch Canada, Executive Vice-President, director and member of the executive committee of Burns Fry Ltd., Chairman and Chief Executive Officer of TD Securities Inc., and Deputy Chairman of TD Bank Financial Group. As well, he was the past Chairman of the board of directors of VIA Rail Canada, and was a past member of the Board of Trustees of the Hospital for Sick Children. He also actively supports numerous charitable organizations.

Harris Fricker

Mr. Harris A. Fricker, III, B.A., M.A., is President, Chief Executive Officer, Director of GMP Capital Inc. Mr. Fricker joined the GMP Securities L.P. (GMP Securities) investment banking team in 2002 and assumed the role of President of GMP Securities in July 2008 and was appointed President of GMP in May 2009. Prior to joining GMP Securities, Mr. Fricker held senior roles at several leading Canadian financial institutions, including, heading up the institutional sales & trading desk of another leading investment dealer and running the corporate debenture/derivatives group at a major Canadian bank. A former entrepreneur himself, Mr. Fricker’s depth of experience arising from over two decades in the North American capital markets combined with his acumen as an entrepreneur provides him with a unique perspective on the financial services landscape. Mr. Fricker holds a B.A. from Saint Francis Xavier University and a M.A. from Oxford University, which he attended as a Rhodes Scholar.

Kevin Sullivan

Mr. Kevin M. Sullivan, B.A., LL.B., CFA , is Deputy Chairman of the Board of GMP Capital Inc. Mr. Sullivan joined Griffiths McBurney & Partners, as a partner, in October 1995, and co-founded its sales and trading operations. Mr. Sullivan is Deputy Chairman of GMP. Mr. Sullivan served as President from 1996 to 1999 and Chief Executive Officer of GMP from June 1999 to September 2010. Mr. Sullivan has 25 years of experience and relationships in the capital markets. During his tenure as Chief Executive Officer at GMP, Mr. Sullivan oversaw the creation and growth of Richardson GMP Limited and GMP Europe as well as GMP’s initial public offering in 2003. Prior to joining GMP, Mr. Sullivan spent three years in European capital markets and was also a lawyer in general practice in Calgary, Alberta. Mr. Sullivan has been involved in a number of charitable endeavours and community organizations, including co-chairing The Ride to Conquer Cancer, Canada’s premier cycling fundraiser. He is a board member of Golf Canada Foundation and The Next 36 and past board member of The Princess Margaret Hospital Foundation.

Trent Boehm

Mr. Trent D. Boehm serves as Vice Chairman, Co-Head - Energy Sales and Trading of GMP FirstEnergy of the Company. In this role, his responsibilities are focused on leading, overseeing, and executing GMP FirstEnergy's global equity capital markets strategy. As part of a team, Mr. Boehm is also responsible for managing firm risk capital pools, and providing guidance to the firm's Proprietary Traders as to overall firm risk capital exposures. Prior to joining GMP FirstEnergy's predecessor firm in 2002, Mr. Boehm worked in both a retail and institutional sales capacity, starting his career at a national full-serviced brokerage firm, and later moving to an energy boutique where he refined his knowledge of the energy sector. Mr. Boehm holds a Bachelor of Commerce Degree from the University of Calgary and holds a Chartered Financial Analyst designation. In 2012 he received the TopGun Sales title in the Energy & Power division, a recognition based on a survey of buy-side clients conducted by Brendan Wood International. Mr. Boehm has been instrumental in organizing and motivating the the firm's Roadrockets, a cycling team that has participated in the Enbridge Ride to Conquer Cancer for the past four years raising money for cancer research in Alberta. To date, the Roadrockets have raised in excess of $721,000.

Christopher Bond

Mr. Christopher G. (Chris) Bond serves as Vice Chairman, Head - Institutional Trading - GMP Securities of the Company. Mr. Bond joined GMP Securities at its inception in 1995. He has held increasingly senior roles throughout his tenure including such roles as market maker for over-the-counter and foreign exchange trader.

John Chambers

Mr. John S. Chambers is Vice-Chairman, President, GMP FirstEnergy of the Company. He was formerly Chief Executive Officer at FirstEnergy. Mr. Chambers is responsible for managing GMP FirstEnergy's strategy and day-to-day operations. As a member of the Executive Committee he remains active in the firm’s Investment Banking group, originating and executing transactions. Mr. Chambers joined GMP FirstEnergy's predecessor firm in 1998 after spending five years at one of Canada's largest bank-owned investment dealers. From 2001 to 2006, Mr. Chambers was Head of Corporate Finance at one of GMP FirstEnergy's predecessor firms FirstEnergy Capital. In his five year tenure as Head of Corporate Finance, the firm executed over 450 financings and $64 billion of M&A transactions. Mr. Chambers holds an MBA in International Finance from McGill University, and a B.Sc. in Geophysics from the University of British Columbia. In 2002, he and his partners accepted the Entrepreneur of the Year Award, Prairies Region, in the Financial Services category. Mr. Chambers was recognized as one of Canada's Top 40 Under 40 in 2006, and was instrumental in FirstEnergy Capital receiving and maintaining Gold Standard status as one of Canada's Best Managed Companies since 2012. In 2016, Mr. Chambers was awarded the McGill University Desautels Faculty of Management - Management Achievement Award. Mr. Chambers is Vice Chairman of the board of directors of the Investment Industry Association of Canada (IIAC), in addition to serving as a member of its Executive Committee, Investment Committee and is Chair of the Audit Committee. He is currently on the fundraising committee of the Alberta Cancer Foundation.

Stephen Harris

Mr. Stephen C. A. Harris is Vice-Chairman, Head - Research, GMP Securities of the Company. Mr. Harris joined GMP in April 2012 from a global investment dealer where he had been Head of Canadian Equity Research and North American Equity Strategist since mid-2006. For the previous 15 years, he was a managing director and portfolio manager at an institutional investment counsellor responsible for investment strategy, equity research and trading. In 2002, he co-led a successful management buyout of the firm. Earlier in his career, Mr. Harris spent six years as an equity research analyst with both independent and global investment dealers.

Nicholas Johnson

Mr. Nicholas (Nick) J. Johnson serves as Vice Chairman, Co-Head - Energy Investment Banking, GMP FirstEnergy of the Company. Mr. Johnson was Head of Corporate Finance at FirstEnergy Capital prior to the firm being acquired by GMP in 2016. Mr. Johnson is responsible for co-managing the day-to-day operations of the Corporate Finance department of GMP FirstEnergy. During his 18 year tenure with the predecessor firm to GMP FirstEnergy, Mr. Johnson has worked on over 200 Canadian and International financing, advisory, merger and acquisition assignments representing over $27.5 billion of activity. Prior to joining the firm, Mr. Johnson spent four years working for two of Canada's largest full service brokerage firms in varying capacities. Mr. Johnson earned a Bachelor of Commerce (with Distinction) from the University of Alberta in 1993 and holds a Chartered Financial Analyst designation. He was recognized as one of Canada's Top 40 Under 40 in 2011, and was ranked as one of the top 100 Investment Bankers in the world in 2008 and 2009 by Brendan Wood International. Mr. Johnson sits on the board of directors for the Calgary United Way.

Kevin Overstrom

Mr. Kevin R. Overstrom is Vice-Chairman, Co-Head - Energy Investment Banking, GMP Securities of GMP Capital Inc. He was formerly Vice-Chairman, Global Head - Equity and Debt Capital Markets, GMP Securities.

Robert Weir

Mr. Robert Russell Weir is Vice-Chairman, Head - Institutional Equity Sales, GMP Securities of the Company. He was formerly Managing Director, Institutional and Retail Sales, GMP Securities. Mr. Weir is Vice-Chairman, Head of Institutional Equity Sales. Mr. Weir joined GMP Securities' team in October 2000 and brings over 18 years of industry experience and deep client relationships to his role. Prior to joining GMP Securities, Mr. Weir was an analyst with a privately owned asset management firm. Mr. Weir is a former professional football player in the Canadian Football League and was a member of 1996 Grey Cup Champion Toronto Argonauts. Rob is a graduate of Queen's University and holds a Chartered Financial Analyst designation. Rob is also actively involved in a number of youth sports organizations in his community.

Deborah Starkman

Ms. Deborah J. Starkman serves as Chief Financial Officer, Corporate Secretary of GMP Capital Inc. She is responsible for the firm’s global finance function, including all aspects of regulatory and external financial reporting, performance measurement, risk management, liquidity and capital management and tax reporting. Prior to her appointment in September 2012 as CFO, Ms. Starkman was Managing Director, Finance, Head of Regulatory Reporting and Risk Management. With over 20 years’ experience in the capital markets industry, she brings a deep level of knowledge and insight to her role. Prior to joining GMP, she was Managing Director, Product Finance at the brokerage arm of a major Canadian bank. Ms. Starkman is a Chartered Accountant and holds a Chartered Financial Analyst designation. She is involved in a number of charities including serving as Treasurer of the Centennial Infant and Child Care Centre and past Treasurer for Myalgic Encephalomyelitis.

Eugene McBurney

Mr. Eugene C. McBurney, B.A., M.A., LL.B., LL.D., serves as Chairman, GMPEmerging Market, Director of the Company. Mr. McBurney is a co-founder of Griffiths McBurney & Partners, the predecessor to GMP Securities, and currently the Chairman and Chief Executive Officer of GMP Securities Emerging Markets Corp. He brings extensive knowledge, background and expertise in the securities industry to the firm. Mr. McBurney is actively involved in the natural resources sector as part of GMP’s investment banking team.

Robert Schoenthal

Mr. Robert Schoenthal is President, GMP USA of the Company. He was formerly Vice Chairman GMP Securities, LLC. Mr. Schoenthal began his career at L.F. Rothschild in 1961, and moved up through the ranks to become Rothschild’s Co-Chief Executive Officer in 1986. Throughout his career at Rothschild, Mr. Schoenthal was involved in all aspects of the business including investment banking, research, trading and sales. From 1988 to 1990, Mr. Schoenthal was President of the Michael Swerdlow Co., a real estate development company purchased by a group of investors including Triarc Corp. and American Express. In 1991 he co-founded New York-based fixed-income investment dealer Miller Tabak Roberts Securities, LLC which was subsequently acquired by GMP in 2011.

Christopher Hill

Mr. Christopher M. Hill is Chief Compliance Officer of the Company. He was formerly Managing Director, Trading Administration and Compliance, GMP.

David Brown

Mr. David G. (Dave) Brown, CA, LL.B, serves as Independent Director of the company. Mr. Brown is Managing Director, President and Chief Executive Officer of Richardson Capital Limited, the private equity division of RFGL. RFGL is part of JRSL, a private, family-owned corporation, founded in 1857, involved in the international grain trade and agri-food business, real estate, energy, financial services and investments. He has held that position since 2007. Mr. Brown is the former Corporate Secretary of James Richardson & Sons, Limited and a former partner in the independent law and accounting firm, Gray & Brown. Mr. Brown has over 25 years of experience in advising family businesses and investment companies in the areas of taxation, mergers, acquisitions, divestitures, corporate reorganizations, financings and estate planning, and has been involved in the vast majority of investments made by the Richardson family. Mr. Brown is a graduate of the University of Manitoba, is a practicing lawyer and Chartered Professional Accountant.

David Ferguson

Mr. David Cadwell Ferguson, FCPA, FCA, is Independent Director of the Company. Mr. Ferguson retired in 2012 from his position as Executive Managing Director and Chief Financial Officer of BMO Capital Markets, the wholesale banking and institutional brokerage pillar of the BMO Financial Group. He had held that position since 1999. He also served as Chief Financial Officer and a member of the Board of BMO Nesbitt Burns Inc. during this period. Mr. Ferguson’s previous experience includes practicing public accounting for 25 years, including 16 years as an audit partner and a period as National Director of KPMG’s investment dealer practice. Mr. Ferguson holds Bachelor of Commerce and Master of Business Administration degrees from the University of Toronto and is a Fellow of the Institute of Chartered Professional Accountants of Ontario and a member of the Institute of Corporate Directors.

Kishore Kapoor

Mr. Kishore Kapoor is Independent Director of the Company. Mr. Kapoor is currently a member of the Board of Directors of Richardson Financial Group Limited, a subsidiary of JRSL. He is former President of Wellington West Holdings Inc., a company providing full service brokerage, capital markets, asset management and financial planning services. In 1995, Mr. Kapoor was one of the founders of Assante Corporation, a company that provided family office, wealth and asset management services to ultra high-net-worth clients. Mr. Kapoor has considerable leadership experience, business acumen and capital markets and wealth management expertise. Mr. Kapoor has a Bachelor of Science from the University of Manitoba and is a Chartered Professional Accountant and former tax partner with KPMG LLP.

Fiona Macdonald

Ms. Fiona L. Macdonald, B.A, M.B.A, ICD.D, serves as Independent Director of GMP Capital Inc. Ms. Macdonald retired on March 1, 2014 from her position as the Executive Compensation Practice Leader, Canadian Division, for Willis Towers Watson, a leading global professional services company. She had held that position since 2003. Concurrent with her leadership role in the Canadian Division, Ms. Macdonald also led Towers Watson’s U.S. West Division Executive Compensation Practice from 2010 through 2013. Ms. Macdonald has more than 25 years of experience in the area of executive and director compensation strategies. She holds both a Bachelor of Arts in International Relations as well as an M.B.A. from the University of British Columbia and is a graduate of the Institute of Corporate Directors program. Ms. Macdonald is the Chair of the British Columbia Chapter of the Institute of Corporate Directors and a member of the board of the BC Ferry Authority.