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] Managing a material risk taker (since 1 Nov 2025)
- [PRA CF] Significant risk taker or Material risk taker (since 1 Nov 2025)
- [FCA CF] Manager of certification employee (since 5 Feb 2020)
- [FCA CF] Material risk taker (since 5 Feb 2020)
- [FCA CF] Client dealing (since 7 Mar 2016)
- CF30 Customer (6 Aug 2013 to 6 Mar 2016)
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TD Execution Services Limited
FRN 472780
- [FCA CF] Manager of certification employee (since 31 May 2024)
- [FCA CF] Client dealing (since 31 May 2024)
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- [FCA CF] Manager of certification employee (23 Aug 2021 to 24 Aug 2021)
- [FCA CF] Client dealing (23 Aug 2021 to 24 Aug 2021)
- [FCA CF] Material risk taker (23 Aug 2021 to 24 Aug 2021)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.