TRADITION FINANCIAL SERVICES LTD.

Date authorised
1 April 2013
Companies House
01046064
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Salesforce
    110 Bishopsgate
    London
    City Of London
    EC2N 4AY
    UNITED KINGDOM
    Phone
    +4402071981500
    Web
    https://www.tradition.com

  • Complaints Contact

    Salesforce
    110 Bishopsgate
    London
    City Of London
    EC2N 4AY
    UNITED KINGDOM
    Phone
    +4402071981500

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
    • · Limited to advice that (1) is given in connection with a transaction in the course of which the only regulated activities carried on by the firm are regulated activities of the kind mentioned below and (2) relates to the carrying on by the firm of those activities in the course of that transaction. The activities mentioned above are arranging (bringing about) deals in investments and making arrangements with a view to transactions in investments.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • David John Jenkins

    IRN DJJ01042

    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (3 Jul 2002 to 16 Feb 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • David John Seamark

    IRN DJS01221

    • CF26 Customer Trading (1 Dec 2001 to 30 Nov 2002)
  • David Michael Goldman

    IRN DMG01085

    • CF30 Customer (26 Nov 2007 to 31 Mar 2008)
    • CF21 Investment Adviser (25 Jun 2002 to 6 Dec 2002)
  • David Timothy Razzell

    IRN DTR01014

    • CF21 Investment Adviser (7 Mar 2006 to 11 Aug 2006)
  • David William Hunt

    IRN DWH01107

    • [FCA CF] Client dealing (2 Mar 2021 to 30 Sep 2025)
    • CF30 Customer (10 Dec 2007 to 8 Dec 2019)
  • Dean Castles

    IRN DXC01705

    • CF30 Customer (1 Nov 2007 to 19 Apr 2013)
    • CF26 Customer Trading (23 Mar 2006 to 31 Oct 2007)
  • Dennis McCombie

    IRN DXM01479

    • CF10 Compliance Oversight (1 Dec 2001 to 14 Jan 2002)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 15 Feb 2002)
  • Diana Ignataviciute

    IRN DXI01133

    • CF30 Customer (12 Dec 2016 to 30 Jun 2018)
  • Dominic James Evans

    IRN DJE01066

    • CF21 Investment Adviser (1 Dec 2001 to 13 Nov 2002)
    • CF26 Customer Trading (1 Dec 2001 to 13 Nov 2002)
  • Dominic James Roy Sprackling

    IRN DXS00370

    • [FCA CF] Client dealing (2 Mar 2021 to 26 Dec 2021)
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Recent activity

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

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