Tradition (UK) Limited

• 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, Alternative Debenture, 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, Unit, 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.

• 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, Alternative Debenture, 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, Unit, 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, Alternative Debenture, 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, Unit, 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.

• Trading Platform

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Unit, Warrant

• Specialist Trading Venue

  For Eligible Counterparty, Professional, Alternative Debenture, 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), Unit, 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.

• Darren Mark Rockman

  IRN DMR01062

  • CF1 Director (1 Dec 2001 to 4 Mar 2008)
• Darren May

  IRN DNM01028

  • [FCA CF] Client dealing (24 Oct 2022 to 11 Apr 2024)
• David Andrew Plume

  IRN DAP01148

  • [FCA CF] Client dealing (13 Jan 2021 to 30 Jun 2023)
  • CF30 Customer (9 Oct 2017 to 8 Dec 2019)
• David Brian Dudley

  IRN DXD01276

  • CF26 Customer Trading (16 Feb 2004 to 19 Apr 2005)
• David Charles Blewett

  IRN DCB01144

  • CF30 Customer (13 Mar 2018 to 8 Dec 2019)
• David Clifton

  IRN DXC01925

  • CF30 Customer (21 Sep 2009 to 8 Apr 2018)
• David Edward Hewer

  IRN DEH01046

  • [FCA CF] Client dealing (19 Feb 2021 to 31 Dec 2021)
  • CF30 Customer (25 Feb 2015 to 8 Dec 2019)
• David Goodenough

  IRN DXG01172

  • CF26 Customer Trading (1 Dec 2001 to 18 Jun 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 18 Jun 2007)
• David James Aspinall

  IRN DJA01093

  • [FCA CF] Client dealing (17 Jan 2021 to 16 Jan 2022)
  • CF30 Customer (17 Feb 2016 to 8 Dec 2019)
• David John Thistlethwaite

  IRN DJT01123

  • CF30 Customer (1 Nov 2007 to 24 Oct 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

• Musana Securities Ltd (no longer appointed)

  FRN 221360 · Appointed 12 Dec 2002 · Until 13 Oct 2003

No changes recorded yet.