TRADITION FINANCIAL SERVICES LTD.

Date authorised
1 April 2013
Companies House
01046064
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 2 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.
    • · 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

    Show 1 limitation
    • · 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
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Lola Alvina Hart

    IRN LXH00693

    • [FCA CF] Client dealing (since 2 Mar 2026)
  • Louis Powell

    IRN LXP00365

    • [FCA CF] Client dealing (since 2 Jan 2024)
  • Louise Ann Thompson

    IRN LAT01031

    • CF26 Customer Trading (1 Dec 2001 to 11 Jun 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 11 Jun 2002)
  • Louise Ellen Pope

    IRN LEF01010

    • CF30 Customer (5 Oct 2009 to 31 Jul 2018)
  • Luca Bertali

    IRN LXB01185

    • CF30 Customer (22 Dec 2008 to 31 Oct 2014)
  • Lucy Jane Edmunds

    IRN LXE00161

    • [FCA CF] Client dealing (11 Feb 2025 to 31 Oct 2025)
  • Lucy Philipa Anne Mortimer

    IRN LPM01017

    • [FCA CF] Client dealing (1 Apr 2021 to 19 Mar 2025)
    • CF30 Customer (18 Feb 2016 to 8 Dec 2019)
  • Malcolm Graham McCaig

    IRN MGM01071

    • SMF10 Chair of the Risk Committee (9 Dec 2019 to 25 Feb 2020)
    • SMF11 Chair of the Audit Committee (9 Dec 2019 to 25 Feb 2020)
    • CF2 Non Executive Director (9 Dec 2013 to 8 Dec 2019)
  • Marc Ian Thompson

    IRN MIT01008

    • CF26 Customer Trading (1 Dec 2001 to 30 Nov 2002)
  • Maria Anne-Laure El Fathi

    IRN MAE01120

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Oct 2022)
    • CF11 Money Laundering Reporting (2 Sep 2013 to 8 Dec 2019)
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Recent activity

Updates to this firm's record on the FCA register.

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