TRADE NATION FINANCIAL UK LTD

• Principal Place of Business

  14 Bonhill Street

  6th Floor

  London

  EC2A 4BX

  UNITED KINGDOM

  Phone

  +4402031805952

  Web

  https://tradenation.com

• Complaints Contact

  14 Bonhill Street

  6th Floor

  London

  EC2A 4BX

  UNITED KINGDOM

  Phone

  +442031805952

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Non-Investment Insurance), Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Cengiz Ali

  IRN CXA00128

  • [FCA CF] Client dealing (17 May 2023 to 27 Nov 2023)
  • [FCA CF] Material risk taker (29 Mar 2021 to 17 May 2023)
• Cheryl Powell

  IRN CXP00434

  • [FCA CF] Material risk taker (31 Mar 2022 to 17 May 2023)
• Christopher William Kelly

  IRN CWK01011

  • CF30 Customer (17 Apr 2012 to 30 Apr 2014)
  • CF11 Money Laundering Reporting (9 May 2011 to 15 Mar 2012)
  • CF10 Compliance Oversight (9 May 2011 to 15 Mar 2012)
  • CF1 Director (9 May 2011 to 30 Apr 2014)
• Craig Hawthorn

  IRN CXH00543

  • [FCA CF] Significant management (3 Jul 2022 to 17 May 2023)
  • [FCA CF] Material risk taker (2 Jul 2022 to 3 Jul 2022)
• Daniel James Pitts

  IRN DXP00250

  • [FCA CF] Client dealing (since 17 May 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 17 May 2023)
• Daniel Schreiber

  IRN DXS01298

  • CF30 Customer (22 Sep 2014 to 31 Oct 2017)
• David Jonathan Lloyd

  IRN DXL00327

  • [FCA CF] Material risk taker (since 17 May 2023)
  • [FCA CF] Significant management (31 Mar 2022 to 17 May 2023)
• Dongsung Kim

  IRN DXK00308

  • [FCA CF] Client dealing (since 17 May 2023)
• Emem Elsie Etim

  IRN EXA22798

  • SMF3 Executive Director (20 Sep 2022 to 2 Mar 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (13 Nov 2021 to 2 Mar 2023)
  • SMF16 Compliance Oversight (15 Jan 2020 to 2 Mar 2023)
  • [FCA CF] Significant management (15 Jan 2020 to 17 May 2023)
• Emma Jane Stacey

  IRN EXS00100

  • [FCA CF] Significant management (31 Mar 2022 to 27 Nov 2023)

• Tom Hougaard (no longer appointed)

  FRN 516583 · Appointed 24 Feb 2016 · Until 8 May 2018

• Clear Investor Limited (no longer appointed)

  FRN 716621 · Appointed 14 Sep 2015 · Until 13 Nov 2019

• Tradecrowd Technology Ltd (no longer appointed)

  FRN 607527 · Appointed 15 Sep 2014 · Until 12 Jan 2017

• Core Spreads Limited (no longer appointed)

  FRN 628724 · Appointed 21 Jul 2014 · Until 1 Jun 2016

• Pip Index Capital Markets Limited (no longer appointed)

  FRN 610586 · Appointed 3 Jul 2014 · Until 31 Oct 2016

No changes recorded yet.