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

  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.

• 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

  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.

• 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.

• Giacomo Renato Casali

  IRN GXC00550

  • [FCA CF] Client dealing (since 5 Jan 2026)
• Giles Roshier

  IRN GDR01032

  • [PRA CF] Significant risk taker or Material risk taker (since 1 Nov 2025)
  • [FCA CF] Material risk taker (since 4 Aug 2025)
  • [FCA CF] Client dealing (since 1 Apr 2024)
  • [PRA CF] Managing a material risk taker (1 Nov 2025 to 16 Mar 2026)
  • [FCA CF] Manager of certification employee (4 Aug 2025 to 16 Mar 2026)
  • SMF3 Executive Director (16 Dec 2024 to 4 Aug 2025)
  • [FCA CF] Material risk taker (1 Apr 2024 to 17 Dec 2024)
• Glenn Gibson

  IRN GXG00364

  • SMF7 Group Entity Senior Manager (since 13 Nov 2025)
• Gokhan Kanko

  IRN GXK01372

  • [PRA CF] Significant risk taker or Material risk taker (since 1 Nov 2025)
  • [FCA CF] Client dealing (since 6 Dec 2019)
  • [FCA CF] Material risk taker (since 1 Nov 2019)
  • CF30 Customer (20 Aug 2015 to 6 Mar 2016)
• Gordon William Piercey

  IRN GWP01034

  • CF19 Significant Mgt (Financial Resources) (1 Dec 2001 to 15 Jan 2004)
  • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 15 Jan 2004)
  • CF13 Finance (1 Dec 2001 to 15 Jan 2004)
• Graeme David Francis

  IRN GDF01009

  • CF21 Investment Adviser (21 Nov 2003 to 25 Jan 2005)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 25 Jan 2005)
• Graham Hutchins

  IRN GDH01080

  • [FCA CF] Material risk taker (7 Mar 2016 to 24 Mar 2021)
  • [FCA CF] Manager of certification employee (7 Mar 2016 to 24 Mar 2021)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF26 Customer Trading (31 Oct 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (10 May 2006 to 31 Oct 2006)
• Graham Sargen

  IRN GXS01208

  • CF21 Investment Adviser (1 Dec 2001 to 30 Jun 2005)
• Grant Randall Gillan

  IRN GRG01044

  • CF21 Investment Adviser (30 Jun 2005 to 30 Sep 2005)
  • CF22 Investment Adviser (Trainee) (15 Feb 2005 to 30 Jun 2005)
• Grant Steven King

  IRN GSK01040

  • SMF22 Other Local Responsibility (7 Mar 2016 to 21 Dec 2016)
  • CF29 Significant management (28 Oct 2014 to 6 Mar 2016)

No changes recorded yet.