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.

• Benjamin George Smith

  IRN BXS00539

  • [FCA CF] Client dealing (since 9 Dec 2024)
• Benjamin Parsons

  IRN BXP00236

  • [FCA CF] Client dealing (5 Jun 2023 to 2 Aug 2023)
• Benjamin Paul Tidman

  IRN BPT01009

  • [FCA CF] Client dealing (since 9 Aug 2022)
  • [FCA CF] Client dealing (11 Nov 2020 to 1 Aug 2022)
  • CF30 Customer (8 Feb 2008 to 8 Dec 2019)
• Benjamin Simon Amede Raoul Baroukh-Ebstein

  IRN BSB01033

  • CF26 Customer Trading (18 Dec 2006 to 30 Jun 2007)
• Bhavna Mianger

  IRN BXM01466

  • CF28 Systems and controls (1 Nov 2007 to 23 May 2008)
  • CF13 Finance (29 Jun 2006 to 31 Oct 2007)
• Billy James Neale

  IRN BXN00079

  • [FCA CF] Client dealing (since 15 Aug 2023)
• Blair Anthony Kester

  IRN BAK01035

  • CF30 Customer (23 Jan 2009 to 31 Jul 2009)
• Bo Ruari Ypma

  IRN BRY01000

  • [FCA CF] Client dealing (1 Jun 2023 to 28 Feb 2025)
  • [FCA CF] Significant management (1 May 2021 to 1 Jun 2023)
  • [FCA CF] Manager of certification employee (1 Mar 2021 to 1 Jun 2023)
  • CF30 Customer (2 Mar 2009 to 8 Dec 2019)
• Brian Andrew Murphy

  IRN BXM01669

  • CF30 Customer (1 Oct 2013 to 30 Apr 2016)
• Brian Goddard

  IRN BXG01067

  • CF26 Customer Trading (3 Nov 2004 to 30 Sep 2005)

No changes recorded yet.