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.

• Fraser Kerr

  IRN FXK01275

  • [FCA CF] Manager of certification employee (19 Oct 2021 to 30 May 2025)
  • [FCA CF] Client dealing (21 Jun 2021 to 30 May 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Mar 2021)
• Gareth Jude Murphy

  IRN GJM01098

  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
• Gary Alexander Cochrane

  IRN GXC00190

  • [FCA CF] Significant management (30 Mar 2020 to 27 May 2022)
• Gary Asquith

  IRN GXA00002

  • [FCA CF] Manager of certification employee (25 Sep 2020 to 26 Feb 2021)
  • CF30 Customer (1 Nov 2007 to 25 Apr 2017)
  • CF21 Investment Adviser (1 Dec 2001 to 7 Jun 2002)
• Gavin Richard Park

  IRN GRP01079

  • 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)
• Geoffrey Marcus Bussey

  IRN GMB01138

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 2 Nov 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
• George Boyd-Jones

  IRN GXB00477

  • [FCA CF] Client dealing (14 Apr 2023 to 29 Aug 2025)
  • [FCA CF] Functions requiring qualifications (14 Apr 2023 to 29 Aug 2025)
• Gordon Joseph Neilly

  IRN GJN01013

  • [FCA CF] Significant management (9 Dec 2019 to 31 Aug 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Aug 2020)
• Graeme James McBirnie

  IRN GXM00380

  • SMF3 Executive Director (23 Dec 2021 to 8 Jul 2024)
• Graham Bland

  IRN GXB00118

  • CF30 Customer (4 Oct 2010 to 19 Dec 2014)

No changes recorded yet.