Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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The Toronto-Dominion Bank
FRN 124859
- [PRA CF] Significant risk taker or Material risk taker (since 1 Nov 2025)
- [FCA CF] Manager of certification employee (since 6 May 2024)
- [FCA CF] Material risk taker (since 1 Nov 2023)
- [FCA CF] Client dealing (since 6 Jan 2022)
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- CF30 Customer (28 Jun 2012 to 6 Mar 2016)
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- CF30 Customer (1 Nov 2007 to 10 May 2012)
- CF21 Investment Adviser (21 Sep 2007 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.