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

  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.

• Stephen Bach

  IRN SXB01399

  • CF30 Customer (12 Dec 2016 to 24 Apr 2019)
• Stephen Gregory Malekian

  IRN SGM01113

  • CF30 Customer (11 Jul 2016 to 8 Dec 2019)
• Stephen Jack

  IRN SXJ01180

  • CF2 Non Executive Director (21 Oct 2010 to 8 Jun 2012)
  • CF1 Director (20 Apr 2010 to 24 Aug 2010)
  • CF28 Systems and controls (20 Apr 2010 to 24 Aug 2010)
• Stephen James RICKERD

  IRN SJR01347

  • CF30 Customer (6 Sep 2017 to 31 Jan 2018)
• Stephen James Reichel

  IRN SJR01354

  • [FCA CF] Client dealing (since 30 Nov 2020)
  • [FCA CF] Manager of certification employee (since 30 Nov 2020)
  • CF30 Customer (18 May 2018 to 8 Dec 2019)
• Stephen John Chattaway

  IRN SXC00472

  • [FCA CF] Client dealing (8 Dec 2020 to 31 Oct 2021)
• Stephen John Day

  IRN SXD00309

  • [FCA CF] Client dealing (19 Mar 2021 to 31 May 2021)
• Stephen John Lambert

  IRN SJL01131

  • [FCA CF] Client dealing (23 Mar 2021 to 31 Jul 2024)
• Stephen John Richards

  IRN SJR01146

  • CF26 Customer Trading (1 Dec 2001 to 30 Dec 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2003)
• Stephen Jude Larkin

  IRN SJL01142

  • [FCA CF] Client dealing (since 9 Jan 2023)

• Musana Securities Ltd (no longer appointed)

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

No changes recorded yet.