ASC FINANCIAL SOLUTIONS LIMITED

Date authorised
1 April 2013
Companies House
06527411
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    A S C Financial Solutions
    19 Shirwell Crescent
    Furzton
    Milton Keynes
    MK4 1GA
    UNITED KINGDOM
    Phone
    +4401908260033
    Web
    https://www.ascfinancialsolutions.co.uk

  • Complaints Contact

    A S C Financial Solutions
    19 Shirwell Crescent
    Furzton
    Milton Keynes
    MK4 1GA
    UNITED KINGDOM
    Phone
    +4401908260033

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Pension Transfer Advice

    For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

    Show 2 limitations
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
    • · 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 Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, 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.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, 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.

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management activity

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, 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.

  • Adrian Stephen Cook

    IRN ASC00031

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF16 Compliance Oversight (9 Dec 2019 to 26 Jun 2025)
    • Responsible for Insurance Mediation (26 Nov 2009 to 30 Sep 2018)
    • CF1 Director (26 Nov 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (26 Nov 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (26 Nov 2009 to 8 Dec 2019)
    • CF30 Customer (26 Nov 2009 to 8 Dec 2019)
  • Camile Bridges

    IRN CXB02601

    • CF30 Customer (27 May 2018 to 9 Apr 2019)
  • Cheryl Mary Ulbrich

    IRN CXU01044

    • CF30 Customer (1 Apr 2013 to 31 Dec 2014)
  • Clare Lehman

    IRN CXL01712

    • CF30 Customer (19 Jun 2017 to 5 Dec 2017)
  • Daniel Giles Piggott

    IRN DXP00165

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (2 Oct 2017 to 8 Dec 2019)
  • Michael Hearn

    IRN MXH03201

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF3 Executive Director (since 20 Jun 2025)
    • SMF16 Compliance Oversight (since 20 Jun 2025)
    • [FCA CF] Client dealing (since 1 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
    • CF30 Customer (22 Jan 2018 to 4 Sep 2019)
  • Scott Newbould

    IRN SXN01801

    • CF30 Customer (3 Apr 2018 to 9 Apr 2019)
  • Thomas Sebastian Warren

    IRN TXW10739

    • CF30 Customer (28 Jan 2019 to 13 Aug 2019)
  • William Biggar

    IRN WCB00006

    • CF1 Director (26 Nov 2009 to 29 Jan 2013)
    • CF30 Customer (26 Nov 2009 to 24 Dec 2012)

Recent activity

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

No changes recorded yet.