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.

• John Stephen Rudd

  IRN JXR00315

  • [FCA CF] Client dealing (2 Nov 2021 to 13 Oct 2023)
• John Vernon Thitchener

  IRN JVT01010

  • CF30 Customer (21 Sep 2017 to 30 Apr 2018)
• Jordan Daniel Pope

  IRN JDP01156

  • [FCA CF] Client dealing (since 8 Jan 2021)
  • CF30 Customer (11 Aug 2017 to 8 Dec 2019)
• Joseph Michael Tighe

  IRN JMT01069

  • CF1 Director (15 Apr 2013 to 2 Jul 2014)
• Joseph Murray Gladstone

  IRN JMG01266

  • [FCA CF] Client dealing (since 1 Sep 2023)
  • CF30 Customer (8 May 2014 to 8 Dec 2019)
• Joseph Paul Michaels

  IRN JPM01143

  • [FCA CF] Manager of certification employee (6 Mar 2023 to 31 Mar 2025)
  • [FCA CF] Client dealing (1 Dec 2021 to 31 Mar 2025)
  • CF30 Customer (13 Jun 2008 to 6 May 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 6 Dec 2002)
  • CF26 Customer Trading (1 Dec 2001 to 6 Dec 2002)
• Joseph Ross Riley

  IRN JXR00574

  • [FCA CF] Client dealing (19 Jul 2022 to 8 Aug 2022)
• Joshua Graham Kleiman

  IRN JGK01046

  • CF30 Customer (15 Nov 2012 to 31 Mar 2014)
• Julia Ainslie

  IRN JXA01865

  • CF30 Customer (18 Jun 2014 to 28 Oct 2014)
• Julian Peter Harding

  IRN JPH01102

  • CF1 Director (1 Dec 2001 to 1 Feb 2005)

No changes recorded yet.