TRADITION FINANCIAL SERVICES LTD.

• 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

• 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

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  • · 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

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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, 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 Hide 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.

• 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 Hide 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.

• Francesca Turner

  IRN FXT00029

  • [FCA CF] Client dealing (since 1 Jan 2024)
• Francisco Xavier Rodrigues

  IRN FXR01139

  • CF28 Systems and controls (19 Jun 2008 to 18 Apr 2010)
• Francois Brisebois

  IRN FXB01234

  • CF2 Non Executive Director (21 Aug 2008 to 8 Dec 2019)
• Francois Philippe Megret

  IRN FPM01025

  • [FCA CF] Client dealing (7 Sep 2021 to 6 Sep 2022)
  • CF30 Customer (13 Jul 2016 to 8 Dec 2019)
• Frederick Reinhard Siebel

  IRN FRS01007

  • CF26 Customer Trading (1 Dec 2001 to 30 Apr 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2005)
• Frederique Victoria Loughlin

  IRN FVL01000

  • [FCA CF] Client dealing (1 Dec 2021 to 4 Feb 2025)
  • CF30 Customer (9 Dec 2008 to 31 Jul 2014)
• Gabriel Bastanti

  IRN GXB00536

  • [FCA CF] Client dealing (since 2 Jan 2024)
• Gavin Charles Masters

  IRN GCM01037

  • CF30 Customer (20 Apr 2017 to 28 Feb 2018)
• George Gabardi

  IRN GXG01366

  • CF30 Customer (21 Jan 2010 to 1 Nov 2014)
• George Mason Wingrove

  IRN GXW00169

  • [FCA CF] Client dealing (29 Jan 2021 to 30 Sep 2023)

No changes recorded yet.