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.

• Michael Joseph Walker

  IRN MJW01290

  • CF21 Investment Adviser (1 Dec 2001 to 28 Feb 2002)
• Michael Killen

  IRN MAK01072

  • [PRA CF] Managing a material risk taker (1 Nov 2025 to 8 Jan 2026)
  • [PRA CF] Significant risk taker or Material risk taker (1 Nov 2025 to 8 Jan 2026)
  • [FCA CF] Manager of certification employee (14 Sep 2022 to 8 Jan 2026)
  • [FCA CF] Client dealing (1 Apr 2019 to 8 Jan 2026)
  • [FCA CF] Material risk taker (1 Apr 2019 to 8 Jan 2026)
• Michael Leslie Bedford

  IRN MLB01050

  • CF21 Investment Adviser (1 Dec 2001 to 10 Mar 2003)
• Michael Lin

  IRN MXL01972

  • CF29 Significant management (23 Jan 2014 to 6 Mar 2016)
  • CF30 Customer (18 Feb 2013 to 6 Mar 2016)
• Michael Lucenti

  IRN MXL62839

  • [FCA CF] Client dealing (1 Nov 2018 to 16 Mar 2022)
• Michael Murphy

  IRN MAM01104

  • [FCA CF] Algorithmic trading (since 8 Jan 2026)
  • SMF3 Executive Director (since 7 Jan 2026)
  • [FCA CF] Client dealing (since 7 Mar 2016)
  • [PRA CF] Significant risk taker or Material risk taker (1 Nov 2025 to 8 Jan 2026)
  • [FCA CF] Material risk taker (7 Mar 2016 to 8 Jan 2026)
  • [PRA CF] Managing a material risk taker (7 Mar 2016 to 19 Jul 2023)
  • [FCA CF] Manager of certification employee (7 Mar 2016 to 8 Jan 2026)
  • CF30 Customer (6 Sep 2010 to 6 Mar 2016)
• Michael Parietti

  IRN MXP01630

  • [FCA CF] Client dealing (since 7 Mar 2016)
  • [FCA CF] Manager of certification employee (since 7 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (29 Jun 2006 to 31 Oct 2007)
• Michael Richard Carey

  IRN MRC01159

  • CF26 Customer Trading (28 Apr 2006 to 26 Mar 2007)
• Michael Wallace Allen MacBain

  IRN MWM01036

  • CF8 Apportionment and Oversight (22 Apr 2003 to 11 Dec 2006)
  • CF26 Customer Trading (1 Dec 2001 to 11 Dec 2006)
  • CF3 Chief Executive (1 Dec 2001 to 22 Apr 2003)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 11 Dec 2006)
• Michael William Flood

  IRN MWF01036

  • CF30 Customer (1 Nov 2007 to 26 Nov 2009)
  • CF21 Investment Adviser (21 Feb 2007 to 31 Oct 2007)

No changes recorded yet.