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.

• Nicholas Rhys Nash Lygoe

  IRN NRL01025

  • CF21 Investment Adviser (1 Dec 2001 to 3 Feb 2006)
• Nick Alan Wise

  IRN NAW01116

  • [FCA CF] Client dealing (4 Jan 2021 to 1 Feb 2023)
• Nick Carey

  IRN NJC01160

  • CF1 Director (26 Jan 2004 to 24 Feb 2009)
• Nicki Robinson

  IRN NJE01058

  • CF30 Customer (25 Apr 2013 to 5 Aug 2016)
• Nicky Jennings

  IRN NXJ01130

  • CF30 Customer (1 Nov 2007 to 30 Sep 2013)
  • CF26 Customer Trading (5 Jun 2007 to 31 Oct 2007)
• Nicolas Ginman

  IRN NXG01082

  • CF21 Investment Adviser (1 Dec 2001 to 10 May 2002)
  • CF26 Customer Trading (1 Dec 2001 to 10 May 2002)
• Nicole Louise Farrant

  IRN NXF12315

  • [FCA CF] Client dealing (since 28 Jan 2021)
• Nik Balac

  IRN NXB01409

  • CF30 Customer (1 Nov 2007 to 14 Dec 2012)
  • CF26 Customer Trading (4 Jun 2007 to 31 Oct 2007)
• Odd Rune Olson

  IRN ORO01001

  • CF30 Customer (7 Aug 2008 to 30 Apr 2010)
• Oliver Charles Christopher Mole

  IRN OXM00121

  • [FCA CF] Client dealing (2 Jan 2024 to 13 Jun 2025)

No changes recorded yet.