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.

  • Chloe Rose Thorne

    IRN CRT01075

    • CF30 Customer (16 Jul 2014 to 30 Apr 2016)
  • Christian Marcel Michel Baillet

    IRN CMB01229

    • SMF13 Chair of the Nominations Committee (since 1 Apr 2021)
    • SMF12 Chair of the Remuneration Committee (since 1 Apr 2021)
    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Mar 2021)
    • CF2 Non Executive Director (17 Apr 2013 to 8 Dec 2019)
  • Christophe Hémon

    IRN CXH00399

    • Director of firm who is not a certification employee or a SMF manager (since 25 Nov 2024)
  • Christopher Robert Clark

    IRN CRC01063

    • CF30 Customer (23 Jun 2010 to 31 Dec 2010)
  • Christopher Sparrow

    IRN CXS01624

    • CF30 Customer (23 Jun 2009 to 30 Sep 2015)
  • Christopher Stewart Rutt

    IRN CSR01086

    • SMF3 Executive Director (26 May 2020 to 4 Nov 2021)
    • SMF2 Chief Finance (9 Dec 2019 to 4 Nov 2021)
    • CF28 Systems and controls (30 Sep 2019 to 8 Dec 2019)
  • Christopher Thomas Scott

    IRN CTS01015

    • CF26 Customer Trading (1 Dec 2001 to 2 Dec 2001)
    • CF21 Investment Adviser (1 Dec 2001 to 2 Dec 2001)
  • Conor Henry McCarthy

    IRN CHM01034

    • CF30 Customer (22 Feb 2016 to 8 Dec 2019)
  • Conor Patrick Boyle

    IRN CXB01017

    • [FCA CF] Client dealing (since 11 Dec 2024)
  • Cornelis Johanna Paulus Schipper

    IRN CJS01323

    • CF30 Customer (18 Feb 2010 to 25 Sep 2012)
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Recent activity

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

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