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

  Show 2 limitations Hide limitations

  • · 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.

• David Murray

  IRN DMM00008

  • [FCA CF] Significant management (since 1 Oct 2024)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
• David Patrick Denis Marie Mouille

  IRN DXM00667

  • [FCA CF] Significant management (11 Feb 2022 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (11 Feb 2022 to 6 Mar 2023)
• David Robert John Paterson

  IRN DRP01132

  • [FCA CF] Client dealing (3 Oct 2022 to 28 Feb 2024)
  • [FCA CF] Functions requiring qualifications (3 Oct 2022 to 28 Feb 2024)
• David Robinson Hughes

  IRN DRH00023

  • [FCA CF] Client dealing (9 Dec 2019 to 29 Jun 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Jun 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 29 Jun 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 29 Jun 2021)
• David Sayers

  IRN DXS00362

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 4 Sep 2020)
• Dawn Elizabeth Morgan

  IRN DXM00329

  • CF30 Customer (1 Nov 2007 to 31 Oct 2014)
  • CF21 Investment Adviser (18 Jul 2002 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 18 Jul 2002)
• Debbie Jean Connolly

  IRN DJC01469

  • [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)
• Deborah Byard

  IRN DXB00764

  • SMF3 Executive Director (24 Jun 2024 to 1 Feb 2026)
• Derek John Blaik

  IRN DJB00009

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 25 Jan 2022)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Derek William Grant MacLeod

  IRN DWM01050

  • SMF16 Compliance Oversight (11 May 2020 to 26 Feb 2021)

No changes recorded yet.