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

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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.

• 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, 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

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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.

• 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

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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.

• 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.

• Spencer Thomas King

  IRN STK01007

  • [FCA CF] Client dealing (4 Jan 2021 to 29 Oct 2021)
• Stefan Salvadore Auckloo

  IRN SSA01078

  • [FCA CF] Client dealing (since 31 Jul 2023)
  • [FCA CF] Manager of certification employee (since 31 Jul 2023)
• Stefano Lumia

  IRN SXL21460

  • [FCA CF] Client dealing (17 Dec 2020 to 6 Apr 2021)
  • CF30 Customer (5 Oct 2019 to 8 Dec 2019)
• Stefano Pastore

  IRN SXP01209

  • CF30 Customer (31 Oct 2018 to 31 Dec 2018)
• Stefano Piccinini

  IRN SXP01229

  • CF21 Investment Adviser (27 Sep 2005 to 30 Jun 2006)
• Stefano Ravagnan

  IRN SXR01216

  • CF30 Customer (2 Apr 2009 to 31 Dec 2017)
• Stephane Benjamin Taieb

  IRN SXT16593

  • [FCA CF] Client dealing (since 24 May 2022)
• Stephanos Kynigos

  IRN SXK03002

  • [FCA CF] Client dealing (since 4 Dec 2020)
  • CF30 Customer (20 Jul 2018 to 8 Dec 2019)
• Stephen Alan Umpelby

  IRN SXU01087

  • CF28 Systems and controls (24 Aug 2010 to 1 Feb 2019)
  • CF1 Director (24 Aug 2010 to 1 Feb 2019)
• Stephen Anthony Irwin

  IRN SAI01010

  • CF21 Investment Adviser (13 May 2004 to 12 May 2005)

• Musana Securities Ltd (no longer appointed)

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

No changes recorded yet.