TRADITION FINANCIAL SERVICES LTD.

Date authorised
1 April 2013
Companies House
01046064
Last scraped
3 weeks ago
Watch for changes

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.

  • Michael Jon Anderson

    IRN MJA01066

    • SMF3 Executive Director (9 Dec 2019 to 26 Mar 2025)
    • SMF1 Chief Executive (9 Dec 2019 to 15 Jan 2025)
    • SMF24 Chief Operations (9 Dec 2019 to 20 Aug 2020)
    • CF1 Director (24 Jul 2014 to 8 Dec 2019)
    • CF3 Chief Executive (24 Jul 2014 to 8 Dec 2019)
    • CF29 Significant management (27 Dec 2012 to 24 Jul 2014)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF26 Customer Trading (1 Dec 2001 to 30 Aug 2002)
  • Michael Leibowitz

    IRN MXL01263

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 10 Aug 2023)
    • CF2 Non Executive Director (5 Feb 2018 to 8 Dec 2019)
    • CF3 Chief Executive (18 Jan 2008 to 19 Apr 2013)
    • CF1 Director (1 Dec 2001 to 5 Feb 2018)
  • Michael Robert Carsley Haynes

    IRN MXH01347

    • CF30 Customer (12 Mar 2009 to 1 Apr 2019)
  • Michael Roy Kleiman

    IRN MRK01021

    • [FCA CF] Client dealing (17 Dec 2020 to 16 Sep 2022)
    • CF30 Customer (5 Jun 2008 to 8 Dec 2019)
  • Michela Pattas

    IRN MXP02046

    • CF30 Customer (26 Oct 2011 to 29 Dec 2011)
  • Miles Anthony Richard Meredith

    IRN MXM00885

    • [FCA CF] Client dealing (since 27 Jun 2022)
  • Millicent Lowry

    IRN MXL00213

    • [FCA CF] Client dealing (since 29 Jan 2021)
  • Mills Andrew

    IRN AXM01522

    • CF30 Customer (24 Jan 2013 to 31 May 2014)
  • Mireia Masip Carcelen

    IRN MXM02861

    • CF30 Customer (15 Nov 2011 to 31 Jul 2013)
  • Mitchell James Joseph Board

    IRN MJB01611

    • CF30 Customer (1 Nov 2007 to 31 Jan 2008)
    • CF26 Customer Trading (28 Jun 2007 to 31 Oct 2007)
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Recent activity

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

No changes recorded yet.