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.

• Ivan Charles Van Niekerk

  IRN ICV01000

  • CF21 Investment Adviser (1 Dec 2001 to 26 Apr 2002)
  • CF26 Customer Trading (1 Dec 2001 to 26 Apr 2002)
• Ivo Sauer

  IRN IXS01185

  • CF26 Customer Trading (26 Apr 2002 to 30 Nov 2002)
• Jack De Looper

  IRN JXD02029

  • [FCA CF] Client dealing (since 4 Feb 2021)
  • CF30 Customer (16 Sep 2011 to 8 Dec 2019)
• Jack Vincent Moore

  IRN JVM01028

  • [FCA CF] Manager of certification employee (since 17 Dec 2020)
  • [FCA CF] Client dealing (since 17 Dec 2020)
  • CF30 Customer (28 Apr 2008 to 8 Dec 2019)
• Jake Anthony Si Morris

  IRN JXM04101

  • [FCA CF] Client dealing (since 16 Aug 2024)
• James Bullen

  IRN JXB01943

  • CF30 Customer (1 Nov 2007 to 31 Jul 2014)
  • CF26 Customer Trading (26 Jul 2006 to 31 Oct 2007)
• James Cooksey

  IRN JXC01328

  • [FCA CF] Client dealing (since 2 Jan 2024)
• James Hawkey

  IRN JXH01280

  • [FCA CF] Client dealing (since 2 Jan 2024)
• James Horsley

  IRN JXH01279

  • [FCA CF] Client dealing (since 2 Jan 2024)
• James Juxon

  IRN JXJ00449

  • [FCA CF] Client dealing (since 8 Jan 2026)

No changes recorded yet.