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.

• Garry Frederick Charles Sams

  IRN GFS01028

  • CF29 Significant management (1 Nov 2007 to 14 Oct 2010)
  • CF30 Customer (1 Nov 2007 to 12 Jan 2011)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Jul 2005 to 31 Oct 2007)
  • CF26 Customer Trading (18 Mar 2005 to 31 Oct 2007)
• Gary Francis Bryck

  IRN GFB01027

  • CF21 Investment Adviser (1 Dec 2001 to 4 Dec 2002)
• Gary McDonald

  IRN GRM01066

  • CF30 Customer (17 Dec 2007 to 21 Jul 2010)
• Gaurav Sinha

  IRN GXS76865

  • [FCA CF] Manager of certification employee (6 Feb 2023 to 19 Aug 2023)
  • [FCA CF] Client dealing (13 Mar 2019 to 19 Aug 2023)
  • [FCA CF] Material risk taker (13 Mar 2019 to 19 Aug 2023)
• Geoffrey Thomas Alder

  IRN GTA01007

  • CF30 Customer (1 Nov 2007 to 3 Nov 2009)
  • CF29 Significant management (1 Nov 2007 to 1 Nov 2008)
  • CF8 Apportionment and Oversight (23 Jan 2007 to 1 Nov 2008)
  • CF21 Investment Adviser (1 Nov 2006 to 31 Oct 2007)
  • CF3 Chief Executive (1 Nov 2006 to 1 Nov 2008)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Nov 2006 to 31 Oct 2007)
• George David Crosby

  IRN GDC01071

  • CF30 Customer (1 Nov 2007 to 11 Apr 2008)
  • CF21 Investment Adviser (9 Oct 2007 to 31 Oct 2007)
• George Henry Woods

  IRN GHW01036

  • [FCA CF] Client dealing (since 3 Dec 2018)
  • CF30 Customer (21 Jul 2011 to 6 Mar 2016)
• George Streeton

  IRN GXS00368

  • [FCA CF] Client dealing (since 19 Jan 2026)
• Georgio Nicholas Hadji Gregoriou

  IRN GNG01014

  • CF30 Customer (22 Jan 2014 to 6 Mar 2016)
• Gerald-Christoph Anderko

  IRN GXA01138

  • CF21 Investment Adviser (8 Oct 2004 to 31 Aug 2005)

No changes recorded yet.