Carl John Hayes

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • The Toronto-Dominion Bank

    FRN 124859

    • SMF3 Executive Director (since 30 Jan 2025)
  • TD Execution Services Limited

    FRN 472780

    • SMF3 Executive Director (since 30 Jan 2025)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Nov 2025)
    • CF30 Customer (8 Oct 2019 to 8 Dec 2019)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • [FCA CF] Manager of certification employee (7 Mar 2016 to 8 Jul 2019)
    • [FCA CF] Client dealing (7 Mar 2016 to 8 Jul 2019)
    • [FCA CF] Material risk taker (7 Mar 2016 to 12 Feb 2018)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (11 May 2007 to 31 Oct 2007)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (27 Oct 2004 to 30 Apr 2007)

Recent activity

Updates to this individual's record on the FCA register.

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