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.

• Craig Richard Burgess

  IRN CRB01174

  • CF30 Customer (19 Mar 2015 to 5 Nov 2015)
• Curtis Rhodri Wingren

  IRN CRW01102

  • CF30 Customer (21 Feb 2008 to 15 Jan 2009)
• Damian Patrick Matthew Zarattini

  IRN DXZ00052

  • SMF18 Other Overall Responsibility (since 2 Feb 2026)
• Daniel Craig Marcus

  IRN DCM01171

  • SMF3 Executive Director (9 Dec 2019 to 27 Apr 2020)
  • CF1 Director (15 Apr 2013 to 8 Dec 2019)
• Daniel Harman

  IRN DXH01625

  • CF30 Customer (17 Jul 2014 to 31 Dec 2015)
• Daniel John Guppy

  IRN DJG01120

  • [FCA CF] Client dealing (since 17 Dec 2020)
  • [FCA CF] Manager of certification employee (since 17 Dec 2020)
  • CF30 Customer (5 Jul 2012 to 8 Dec 2019)
• Daniel John Thorogood

  IRN DJT01140

  • CF30 Customer (25 Feb 2016 to 31 Jul 2017)
• Daniel Joseph Anderson

  IRN DJA01099

  • CF21 Investment Adviser (1 Dec 2001 to 10 May 2002)
  • CF26 Customer Trading (1 Dec 2001 to 10 May 2002)
• Daniel Mark Lavery

  IRN DML01125

  • [FCA CF] Client dealing (since 27 Feb 2023)
  • [FCA CF] Manager of certification employee (since 27 Feb 2023)
• Daniel Payn

  IRN DJP01305

  • CF30 Customer (29 Apr 2009 to 31 Jul 2009)

No changes recorded yet.