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.

• Alexander James Behling

  IRN AJB01822

  • [FCA CF] Client dealing (18 Nov 2020 to 31 Jan 2025)
  • CF30 Customer (29 Mar 2016 to 8 Dec 2019)
• Alexander James Greene

  IRN AXG01856

  • CF30 Customer (27 Jan 2009 to 5 Jun 2009)
• Alexandra Jacqueline Lenzan

  IRN AJL01243

  • CF30 Customer (5 Jan 2009 to 31 Dec 2015)
• Alexandre Fonseca Aires Gomes

  IRN PAG01139

  • CF30 Customer (8 Nov 2007 to 31 Mar 2010)
  • CF26 Customer Trading (1 Dec 2001 to 30 Nov 2002)
• Alexandre Romain Jerome Dutheil

  IRN ARD01146

  • CF30 Customer (9 Nov 2015 to 4 Jul 2016)
• Alistair John Ellis Roffey

  IRN AJR01223

  • CF30 Customer (2 Apr 2013 to 22 Nov 2013)
• Amit Sharad Oza

  IRN AXO01129

  • CF30 Customer (1 Nov 2007 to 4 Feb 2010)
  • CF21 Investment Adviser (18 Sep 2007 to 31 Oct 2007)
• Anastasia Stevenson

  IRN AXS04885

  • [FCA CF] Client dealing (29 Jan 2021 to 16 May 2023)
  • CF30 Customer (20 Jul 2018 to 8 Dec 2019)
• Anders Borg

  IRN AXB02371

  • CF30 Customer (14 Aug 2008 to 31 Dec 2009)
• Andrea Gamberoni

  IRN AXG02306

  • CF30 Customer (18 Oct 2013 to 31 Oct 2016)

No changes recorded yet.