TD Execution Services Limited

• Principal Place of Business

  11th Floor

  1 Snowden Street

  London

  EC2A 2DQ

  UNITED KINGDOM

  Phone

  +442070717500

  Web

  https://www.tdsecurities.com

• Complaints Contact

  60 Threadneedle Street

  London

  EC2R 8HP

  UNITED KINGDOM

  Phone

  +442034101188

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Patrick Edward McNellis

  IRN PEM01050

  • [FCA CF] Client dealing (18 May 2022 to 23 Jun 2023)
• Patrick Joseph Creely

  IRN PXC12384

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Jul 2024)
  • CF30 Customer (8 Mar 2019 to 8 Dec 2019)
• Peter O'Boyle

  IRN PXO01057

  • CF26 Customer Trading
  • CF30 Customer (22 Jan 2008 to 1 Jun 2015)
• Peter Simai

  IRN PXS02188

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Mar 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 24 Mar 2020)
  • CF11 Money Laundering Reporting (8 Dec 2011 to 8 Dec 2019)
  • CF10 Compliance Oversight (8 Dec 2011 to 8 Dec 2019)
• Philip James Lord

  IRN PJL01089

  • CF26 Customer Trading
  • CF30 Customer (22 Jan 2008 to 24 Jun 2009)
• Philip John Gough

  IRN PJG01118

  • CF1 Director (1 Jan 2015 to 10 Nov 2017)
  • CF30 Customer (1 Jan 2015 to 10 Nov 2017)
  • CF3 Chief Executive (1 Jan 2015 to 10 Nov 2017)
• Regine Ohemaa Konadu Boateng

  IRN ROB01016

  • CF30 Customer (17 Feb 2012 to 10 Apr 2012)
• Ricky Ramtej

  IRN RAR01151

  • CF30 Customer (5 Apr 2016 to 12 Jul 2016)
• Robert Andrew Brain

  IRN RAB01197

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (7 Sep 2019 to 8 Dec 2019)
• Robert Gregor Jamieson

  IRN RGJ01038

  • CF30 Customer (30 Jun 2015 to 29 May 2018)

• Diamondback Software UK Limited (no longer appointed)

  FRN 595632 · Appointed 7 Feb 2013 · Until 25 Mar 2013

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