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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  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.

• 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

  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.

• 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.

• Peter Christopher Airlie

  IRN PXA01142

  • [FCA CF] Manager of certification employee (7 Mar 2016 to 1 Nov 2021)
  • [FCA CF] Client dealing (7 Mar 2016 to 1 Nov 2021)
  • [FCA CF] Material risk taker (7 Mar 2016 to 1 Nov 2021)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (27 Jan 2004 to 31 Oct 2007)
• Peter David De Winter

  IRN PDD01028

  • CF16 Significant Mgt (Desgntd Investment Business) (12 Dec 2001 to 31 Dec 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2006)
• Peter David Thomas

  IRN PDT01035

  • CF30 Customer (1 Nov 2007 to 12 Sep 2014)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Peter Dixon

  IRN PXD01607

  • SMF2 Chief Finance (21 Apr 2016 to 14 Nov 2017)
  • CF29 Significant management (19 Jun 2009 to 17 Sep 2012)
  • CF28 Systems and controls (19 Jun 2009 to 17 Sep 2012)
• Peter Richard Gray

  IRN PRG01040

  • CF30 Customer (1 Nov 2007 to 30 Jan 2009)
  • CF21 Investment Adviser (17 Jul 2007 to 31 Oct 2007)
• Peter Walker

  IRN PXW01867

  • [FCA CF] Client dealing (13 Mar 2020 to 11 Jul 2021)
  • SMF19 Head of Overseas Branch/Head of Overseas (3 Nov 2016 to 31 Mar 2020)
  • [FCA CF] Material risk taker (8 Aug 2016 to 11 Jul 2021)
• Philip Barry Hobden

  IRN PBH01031

  • CF21 Investment Adviser (28 May 2002 to 20 May 2005)
• Philip Wartmann

  IRN PXW01525

  • CF30 Customer (1 Nov 2007 to 30 Jan 2009)
  • CF21 Investment Adviser (12 Dec 2006 to 31 Oct 2007)
• Philip William John Bates

  IRN PWB01062

  • SMF3 Executive Director (since 7 Feb 2025)
  • [FCA CF] Client dealing (since 13 Jul 2022)
  • SMF22 Other Local Responsibility (17 Feb 2021 to 7 Feb 2025)
  • CF30 Customer (30 Sep 2010 to 6 Mar 2016)
  • CF29 Significant management (30 Sep 2010 to 6 Mar 2016)
  • CF21 Investment Adviser (31 May 2006 to 15 Aug 2006)
• Philippe Andre Laurent Hatstadt

  IRN PAH01232

  • CF21 Investment Adviser (19 Jan 2005 to 30 Jun 2005)

No changes recorded yet.