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.

• Julien Jacques Lucien Ruben

  IRN JJR01068

  • CF30 Customer (13 Sep 2013 to 30 Apr 2014)
• Justin Francis King

  IRN JFK01013

  • CF30 Customer (26 Jan 2009 to 1 Oct 2009)
• Justine Lea Camille Petit

  IRN JXP01216

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

  IRN KXR01242

  • CF30 Customer (17 Aug 2009 to 16 Oct 2009)
• Keith Amos

  IRN KEA01008

  • CF30 Customer (28 Aug 2014 to 20 Jun 2015)
• Keith West

  IRN KXW01470

  • CF30 Customer (19 Jun 2013 to 8 Jul 2013)
• Kenny Stokholm Groth

  IRN KSG01028

  • CF30 Customer (1 Nov 2007 to 27 Feb 2009)
  • CF21 Investment Adviser (10 Jul 2007 to 31 Oct 2007)
• Kentaro Friis

  IRN KXF01197

  • [FCA CF] Client dealing (since 2 Mar 2021)
  • CF30 Customer (8 Jun 2012 to 8 Dec 2019)
• Kevin Raymond Adams

  IRN KRA01014

  • CF30 Customer (8 Nov 2007 to 31 Jul 2008)
• Kingsley Kent Kennedy-Smith

  IRN KKK01005

  • CF30 Customer (8 Apr 2008 to 30 Nov 2011)

No changes recorded yet.