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.

• Graham Davis

  IRN GXD00247

  • [FCA CF] Manager of certification employee (7 Mar 2022 to 3 Jun 2024)
• Graham Scott Crawford

  IRN GSC01044

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Jun 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 15 Jun 2022)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Gregor Ian Gavin Anderson

  IRN GIA00008

  • [FCA CF] Client dealing (17 Sep 2020 to 8 Apr 2022)
  • [FCA CF] Functions requiring qualifications (17 Sep 2020 to 8 Apr 2022)
• Gwendolin Rawlingson

  IRN GXR00113

  • [FCA CF] Client dealing (25 Sep 2020 to 4 Jun 2021)
  • [FCA CF] Functions requiring qualifications (25 Sep 2020 to 4 Jun 2021)
• Hannah Frances Pienaar

  IRN HXP00167

  • [FCA CF] Client dealing (7 Jul 2022 to 10 Nov 2023)
  • [FCA CF] Functions requiring qualifications (7 Jul 2022 to 10 Nov 2023)
• Hannah Rose Davies

  IRN HXS00307

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 26 Jul 2024)
  • [FCA CF] Functions requiring qualifications (since 26 Jul 2024)
  • [FCA CF] Client dealing (7 Oct 2022 to 29 May 2023)
  • [FCA CF] Functions requiring qualifications (7 Oct 2022 to 29 May 2023)
• Harold Gerard Anthony Anderson

  IRN HXA00230

  • [FCA CF] Functions requiring qualifications (17 Jul 2023 to 9 Apr 2025)
  • [FCA CF] Client dealing (17 Jul 2023 to 9 Apr 2025)
• Harpreet Singh Saroya

  IRN HSS01030

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Nov 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Nov 2023)
• Harry James O'Connor

  IRN HJO00006

  • CF30 Customer (1 Nov 2007 to 13 Apr 2015)
  • CF21 Investment Adviser (7 Feb 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (12 Jun 2006 to 7 Feb 2007)
• Harvin Singh Samra

  IRN HXS00126

  • [FCA CF] Functions requiring qualifications (28 Oct 2020 to 17 Mar 2023)
  • [FCA CF] Client dealing (28 Oct 2020 to 17 Mar 2023)

No changes recorded yet.