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.

• Jeffrey Adler

  IRN JXA01145

  • CF1 Director (1 Dec 2001 to 21 Oct 2005)
• Jeffrey Leland Mehan

  IRN JLM01077

  • CF1 Director (1 Dec 2001 to 31 Dec 2003)
• Jennifer Bernadette Doyle

  IRN JBD01058

  • CF30 Customer (18 Feb 2013 to 18 Aug 2016)
• Jeremy Michael Woolfenden

  IRN JMW01176

  • CF1 Director (26 Jan 2004 to 5 Aug 2008)
• Jeroen Vlam

  IRN JXV01040

  • CF30 Customer (1 Nov 2007 to 2 Nov 2007)
  • CF26 Customer Trading (24 May 2006 to 31 Oct 2007)
• Jody Ansett

  IRN JXA00607

  • [FCA CF] Client dealing (since 12 Dec 2023)
• Joel Marc Bennett

  IRN JMB01191

  • CF30 Customer (23 Jan 2009 to 30 Sep 2009)
• John Cross

  IRN JXC02680

  • [FCA CF] Client dealing (17 Dec 2020 to 31 Jul 2022)
  • CF30 Customer (22 Mar 2019 to 8 Dec 2019)
• John Lawrence Molloy

  IRN JXM01722

  • [FCA CF] Manager of certification employee (since 17 Dec 2020)
  • [FCA CF] Client dealing (since 17 Dec 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (26 Apr 2005 to 31 Oct 2007)
• John Ruffles

  IRN JXR01226

  • CF21 Investment Adviser (26 Jul 2006 to 31 Jul 2007)

No changes recorded yet.