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

  Show 1 limitation Hide limitations

  • · 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.

• Oliver James Douglas Latta

  IRN OXL00019

  • [FCA CF] Client dealing (since 12 Jan 2021)
• Oliver James Terry

  IRN OJT01014

  • [FCA CF] Client dealing (2 Aug 2021 to 31 Dec 2022)
• Oliver Justin Lillycrop

  IRN OXL00070

  • [FCA CF] Client dealing (since 11 Dec 2024)
• Oliver Russell James Parkes

  IRN OXP00088

  • [FCA CF] Client dealing (since 22 Sep 2025)
• Olivia Helen Goldsmith

  IRN OHG01001

  • [FCA CF] Client dealing (7 Sep 2020 to 30 Apr 2023)
  • [FCA CF] Manager of certification employee (7 Sep 2020 to 30 Apr 2023)
• Oscar Lammin

  IRN OXL00083

  • [FCA CF] Client dealing (since 4 Aug 2025)
• Patrick Anthony Woodring

  IRN PAW01194

  • CF30 Customer (1 Nov 2007 to 6 May 2011)
  • CF1 Director (4 Jan 2007 to 5 Aug 2008)
  • CF26 Customer Trading (11 Jul 2006 to 31 Oct 2007)
• Patrick Appleby Styles

  IRN PAS01382

  • [FCA CF] Client dealing (since 26 Jan 2021)
  • [FCA CF] Manager of certification employee (26 Jan 2021 to 1 Feb 2025)
  • CF30 Customer (29 Feb 2016 to 8 Dec 2019)
• Paul Crawford

  IRN PSC01052

  • CF30 Customer (1 Nov 2007 to 31 Aug 2008)
  • CF21 Investment Adviser (30 Sep 2004 to 31 Oct 2007)
• Paul Dawney

  IRN PXD01230

  • CF28 Systems and controls (23 Jul 2019 to 8 Dec 2019)

No changes recorded yet.