ASCOT LLOYD FINANCIAL PLANNING LIMITED

• Principal Place of Business

  Ascot Lloyd

  45 Church Street

  Birmingham

  B3 2RT

  UNITED KINGDOM

  Phone

  +4403454757500

• Complaints Contact

  Ascot Lloyd

  45 Church Street

  Birmingham

  B3 2RT

  UNITED KINGDOM

  Phone

  +4403454757500

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · 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 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

• 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, 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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 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.

• Adam Robert Carson

  IRN AXC21071

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 2 Nov 2023)
  • [FCA CF] Client dealing (since 13 Jul 2022)
• Adam Rowley

  IRN AXR01176

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 2 Mar 2026)
  • [FCA CF] Client dealing (since 2 Mar 2026)
• Adrian McCreadie

  IRN AXM00011

  • [FCA CF] Client dealing (9 Dec 2019 to 12 Apr 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Apr 2024)
• Ahmar Faraz Manzoor

  IRN AFM01100

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Ainsley Bowyer

  IRN ALB01127

  • CF30 Customer (30 Nov 2019 to 30 Nov 2019)
• Alain Khelil Courbebaisse

  IRN AXC01057

  • SMF3 Executive Director (2 Apr 2024 to 1 Feb 2026)
  • [FCA CF] Significant management (7 Mar 2024 to 2 Apr 2024)
  • [FCA CF] Manager of certification employee (7 Mar 2024 to 2 Apr 2024)
• Alan David Walsh

  IRN ADW01147

  • CF30 Customer (20 Sep 2011 to 30 May 2014)
• Alan Stott Turner

  IRN AST01075

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Nov 2022)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Alan Wilson

  IRN AXW01971

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Nov 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Nov 2023)
• Alastair James Clarkson

  IRN AXC44358

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 30 Apr 2021)

No changes recorded yet.