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.

• Torsten Behling

  IRN TXB01381

  • CF30 Customer (25 Jul 2008 to 8 Dec 2019)
• Tristan Bayard Aimar De Saint Ouen

  IRN TBD01016

  • SMF3 Executive Director (24 Aug 2020 to 29 Feb 2024)
  • SMF24 Chief Operations (20 Aug 2020 to 29 Feb 2024)
• Tsvetelina Yordanova Samovolska

  IRN TYS01002

  • CF30 Customer (16 Sep 2009 to 31 Aug 2018)
• Victoria Brooks

  IRN VXB01154

  • CF30 Customer (24 Apr 2008 to 31 Aug 2009)
• Victoria Jane Adams

  IRN VJA01012

  • CF30 Customer (25 Aug 2015 to 6 Aug 2017)
• Vikas Malhotra

  IRN VXM09376

  • CF29 Significant management (28 Dec 2018 to 14 Mar 2019)
• Wanning Du

  IRN WXD00101

  • [FCA CF] Client dealing (since 9 Dec 2024)
• Wesley Francis Hunt

  IRN WFH01007

  • CF21 Investment Adviser (25 Aug 2005 to 15 Jun 2006)
• William Aldridge

  IRN WXA00111

  • [FCA CF] Client dealing (since 11 Dec 2024)
• William John Stuart Chambers

  IRN WJC01051

  • [FCA CF] Client dealing (since 4 Nov 2024)
  • [FCA CF] Manager of certification employee (since 4 Nov 2024)

No changes recorded yet.