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.

• Rosie Honor Rodgers

  IRN RXR00456

  • [FCA CF] Client dealing (since 11 Dec 2024)
• Ross William Minihane

  IRN RWM01076

  • [FCA CF] Client dealing (17 Dec 2020 to 31 May 2024)
  • [FCA CF] Manager of certification employee (17 Dec 2020 to 31 May 2024)
  • CF30 Customer (9 Jan 2013 to 8 Dec 2019)
• Ruby Paris Filmer

  IRN RXF00398

  • [FCA CF] Client dealing (since 1 Dec 2025)
• Rupert Hodges

  IRN RDH01074

  • CF3 Chief Executive (19 Apr 2013 to 13 Jun 2014)
  • CF1 Director (29 Mar 2012 to 13 Jun 2014)
  • CF29 Significant management (14 Oct 2010 to 23 Feb 2012)
• Russell Gary Parkes

  IRN RGP01032

  • [FCA CF] Client dealing (4 Jun 2021 to 10 Jun 2025)
• STEVEN JOHN CLARK

  IRN SJC01516

  • [FCA CF] Material risk taker (since 1 Jan 2022)
  • [FCA CF] Significant management (since 24 Nov 2020)
  • [FCA CF] Manager of certification employee (since 24 Nov 2020)
  • CF29 Significant management (13 Jun 2017 to 8 Dec 2019)
• Sadhana Jadav

  IRN SXJ00172

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Dec 2024)
• Sadie Adelle Milward

  IRN SAR01210

  • [FCA CF] Manager of certification employee (since 1 Nov 2023)
  • [FCA CF] Client dealing (since 2 Mar 2021)
  • CF30 Customer (9 Nov 2012 to 8 Dec 2019)
• Safdar Onali Bandukwala

  IRN SOB01008

  • CF30 Customer (18 Jan 2017 to 12 Jan 2018)
• Sallyanne Ackerman

  IRN SXT01461

  • CF30 Customer (1 Nov 2007 to 3 Feb 2013)
  • CF26 Customer Trading (4 Jan 2007 to 31 Oct 2007)

No changes recorded yet.