Where they hold approval

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

  • The Toronto-Dominion Bank (no longer approved here)

    FRN 124859

    • [FCA CF] Client dealing (7 Mar 2016 to 1 Jul 2022)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 1 Jul 2022)
    • [FCA CF] Material risk taker (7 Mar 2016 to 1 Jul 2022)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (11 Nov 2002 to 31 Oct 2007)
  • TP ICAP Markets Limited (no longer approved here)

    FRN 124520

    • CF21 Investment Adviser (18 Jan 2002 to 8 Nov 2002)

Recent activity

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

No changes recorded yet.