The Toronto-Dominion Bank

• Principal Place of Business

  60 Threadneedle Street

  London

  EC2R 8AP

  UNITED KINGDOM

  Phone

  +4402079200272

  Web

  https://www.tdsecurities.com

• Complaints Contact

  60 Threadneedle Street

  London

  EC2R 8AP

  UNITED KINGDOM

  Phone

  +4402034101188

• Bank Deposits

  For Eligible Counterparty, Professional, Deposit

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, 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, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, 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, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, 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, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Dominic Denise Philomena Joseph Nys

  IRN DDN00004

  • CF21 Investment Adviser (4 Mar 2004 to 9 Feb 2006)
  • CF22 Investment Adviser (Trainee) (22 Oct 2002 to 4 Mar 2004)
• Dominic Gregor Guy Wynniatt-Husey

  IRN DGW01034

  • CF21 Investment Adviser (1 Dec 2001 to 25 Aug 2004)
• Donald A Wright

  IRN DAW01140

  • CF8 Apportionment and Oversight (1 Dec 2001 to 9 Dec 2002)
• Donna Patricia Bales

  IRN DPB01069

  • CF21 Investment Adviser (1 Dec 2001 to 10 Mar 2006)
• Dougall Joseph MacPhee

  IRN DJM01322

  • CF21 Investment Adviser (1 Dec 2001 to 19 Dec 2001)
• Douglas Alan Rediker

  IRN DAR01102

  • CF21 Investment Adviser (1 Dec 2001 to 23 Jun 2002)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 29 Apr 2003)
• Doyin Pedro

  IRN DXP00578

  • [FCA CF] Client dealing (since 11 Mar 2024)
• Edward Ainsworth

  IRN ECA01018

  • [FCA CF] Manager of certification employee (since 18 Aug 2025)
  • [FCA CF] Client dealing (since 6 Oct 2022)
  • [FCA CF] Manager of certification employee (6 Nov 2023 to 25 Jun 2025)
• Edward Bowler

  IRN EJB01086

  • [PRA CF] Significant risk taker or Material risk taker (since 1 Nov 2025)
  • [PRA CF] Managing a material risk taker (since 1 Nov 2025)
  • [FCA CF] Manager of certification employee (since 1 Dec 2017)
  • [FCA CF] Client dealing (since 1 Dec 2017)
  • [FCA CF] Material risk taker (since 7 Mar 2016)
  • [PRA CF] Managing a material risk taker (1 Dec 2017 to 19 Jul 2023)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (26 Oct 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (25 Jul 2005 to 26 Oct 2005)
• Edward Charles Tyler

  IRN ECT01011

  • [FCA CF] Manager of certification employee (14 Sep 2022 to 10 Oct 2024)
  • [FCA CF] Client dealing (30 May 2017 to 29 Mar 2025)
  • [FCA CF] Material risk taker (30 May 2017 to 29 Mar 2025)

No changes recorded yet.