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.

  • Sheena Anne Harding

    IRN SAH01095

    • CF26 Customer Trading (1 Dec 2001 to 31 May 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 31 May 2002)
  • Simon Brennan

    IRN SXB01329

    • CF1 Director (26 Jan 2004 to 27 Feb 2009)
  • Simon Graham Overy

    IRN SGO01009

    • [FCA CF] Client dealing (since 17 Feb 2021)
    • CF30 Customer (10 Jun 2013 to 8 Dec 2019)
  • Simon James Hardy

    IRN SJH01233

    • CF30 Customer (30 Jun 2008 to 7 Oct 2008)
  • Simon John Hart

    IRN SJH01246

    • CF30 Customer (15 Feb 2008 to 23 Jul 2008)
  • Simon John Neal

    IRN SJN01059

    • CF30 Customer (1 Nov 2007 to 5 Jul 2012)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Simon Peter Burden

    IRN SPB01126

    • CF30 Customer (21 Aug 2013 to 29 May 2015)
  • Simon Rushworth

    IRN SXR01029

    • SMF18 Other Overall Responsibility (since 27 Nov 2025)
  • Simon Woodward

    IRN SXW01367

    • CF26 Customer Trading (8 Dec 2005 to 31 Jul 2007)
  • Sofia mary Kalaitzis

    IRN SXK00658

    • [FCA CF] Client dealing (since 22 May 2023)
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Recent activity

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

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