Nikki Smith

Last updated
3 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

    • [PRA CF] Significant risk taker or Material risk taker (since 1 Nov 2025)
    • [FCA CF] Material risk taker (since 1 Jan 2021)
    • [FCA CF] Client dealing (since 21 Mar 2019)
    • [FCA CF] Manager of certification employee (since 21 Mar 2019)
  • TD Bank Europe Limited (no longer approved here)

    FRN 165556

    • [FCA CF] Material risk taker (1 Jan 2021 to 23 Jan 2024)
    • [FCA CF] Client dealing (21 Mar 2019 to 23 Jan 2024)
    • [FCA CF] Manager of certification employee (21 Mar 2019 to 23 Jan 2024)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • [FCA CF] Manager of certification employee (18 May 2018 to 11 Jan 2019)
    • [FCA CF] Client dealing (7 Mar 2016 to 11 Jan 2019)
    • CF30 Customer (19 Feb 2014 to 6 Mar 2016)

Recent activity

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

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