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

  Show 2 limitations 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.
  • · 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.

• Philip Llewellyn

  IRN PXL01556

  • SMF17 Money Laundering Reporting Officer (MLRO) (25 Aug 2023 to 12 Jan 2024)
  • SMF16 Compliance Oversight (24 Jun 2022 to 12 Jan 2024)
  • [FCA CF] Significant management (5 May 2021 to 1 Mar 2024)
• Philip Regan

  IRN PXR01485

  • CF1 Director (23 May 2008 to 19 Mar 2010)
  • CF28 Systems and controls (23 May 2008 to 19 Mar 2010)
• Philipp Carlstroem

  IRN PXC00583

  • [FCA CF] Client dealing (since 2 Jan 2024)
• Pierre Frederic Othmar Fischer

  IRN PXF01272

  • CF2 Non Executive Director (21 Jan 2008 to 11 Dec 2008)
• Pierre-Yves Bournet

  IRN PXB01750

  • CF2 Non Executive Director (28 Oct 2004 to 6 Aug 2008)
• Placida Di Crescenzo

  IRN PXD01597

  • CF30 Customer (19 Feb 2009 to 21 Dec 2017)
• Povl Sebastian Hansen Vaughan

  IRN PSV01009

  • CF30 Customer (1 Nov 2007 to 29 Feb 2008)
  • CF26 Customer Trading (25 Oct 2007 to 31 Oct 2007)
• Queenie Grace Muriel Charlotte Brislen-Hall

  IRN QXB00006

  • [FCA CF] Client dealing (since 28 Apr 2025)
• Rachelle Chantal Brace

  IRN RCB01191

  • CF30 Customer (17 Apr 2012 to 31 Aug 2015)
• Rafal Maciej Maciejewski

  IRN RMM01138

  • CF30 Customer (19 Jan 2009 to 8 Dec 2019)

No changes recorded yet.