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.

• James William Watson

  IRN JWW01118

  • SMF18 Other Overall Responsibility (21 Dec 2020 to 28 Aug 2024)
• Jamie Brian Livingstone

  IRN JXL00924

  • [FCA CF] Client dealing (since 7 Jul 2023)
• Jamie John Kilmartin

  IRN JXK16165

  • CF30 Customer (15 Jun 2019 to 8 Dec 2019)
• Jamie Peter Bezencenet

  IRN JPB01265

  • CF30 Customer (19 Jul 2010 to 27 Aug 2010)
• Janek Oliver Pietkiewicz

  IRN JOP01006

  • CF21 Investment Adviser (1 Dec 2001 to 17 Jun 2002)
  • CF26 Customer Trading (1 Dec 2001 to 17 Jun 2002)
• Janine Miriam Adamo

  IRN JMA01220

  • CF30 Customer (31 Mar 2016 to 6 Dec 2017)
• Jason Curtis

  IRN JPC01212

  • CF30 Customer (19 Jan 2009 to 8 Dec 2019)
• Jason Roland Hall

  IRN JRH01117

  • CF21 Investment Adviser (1 Dec 2001 to 24 May 2002)
  • CF26 Customer Trading (1 Dec 2001 to 24 May 2002)
• Javid Canteenwala

  IRN JXC00792

  • SMF2 Chief Finance (since 17 Mar 2023)
  • SMF3 Executive Director (since 17 Mar 2023)
  • [FCA CF] Significant management (since 4 Jan 2022)
• Jean-Baptiste De Vulpillières

  IRN JXD01121

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

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