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.

• Bruce Paul Collins

  IRN BPC01086

  • CF2 Non Executive Director (13 Aug 2008 to 26 Dec 2012)
• Callum McSpadden

  IRN CXM01306

  • [FCA CF] Client dealing (since 17 Mar 2025)
• Cameron Smith

  IRN CXS00791

  • [FCA CF] Client dealing (since 18 Sep 2023)
• Camilla Louise McGinn

  IRN CLM01117

  • CF30 Customer (14 Nov 2012 to 19 Dec 2014)
• Carsten Carl Eastman

  IRN CCE01006

  • CF30 Customer (11 Dec 2007 to 13 Aug 2010)
• Catherine Annie Bienstock

  IRN CAB01169

  • Director of firm who is not a certification employee or a SMF manager (25 Feb 2020 to 31 Jan 2024)
• Charles Edward Hicks

  IRN CXH00646

  • SMF18 Other Overall Responsibility (since 9 Oct 2025)
  • [FCA CF] Material risk taker (since 30 Aug 2023)
  • [FCA CF] Significant management (since 3 Feb 2023)
• Charles Woodhouse

  IRN CXW01621

  • CF30 Customer (16 Sep 2011 to 28 Apr 2017)
• Charlotte Ashley Douglas

  IRN CXD00469

  • [FCA CF] Client dealing (since 15 May 2023)
• Charlotte Grace Wald

  IRN CGW01064

  • CF30 Customer (10 Feb 2012 to 30 Jun 2014)

No changes recorded yet.