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.

• Ian James Preece

  IRN IJP00003

  • [FCA CF] Functions requiring qualifications (25 Sep 2020 to 23 Dec 2021)
  • [FCA CF] Client dealing (25 Sep 2020 to 23 Dec 2021)
  • CF30 Customer (4 Oct 2010 to 8 Dec 2019)
• Ian Jenkins

  IRN ISJ01012

  • [FCA CF] Manager of certification employee (10 May 2023 to 31 Mar 2024)
  • [FCA CF] Significant management (10 May 2023 to 31 Mar 2024)
• Ian Michael Gibbs

  IRN IMG01042

  • [FCA CF] Manager of certification employee (since 18 Jul 2022)
  • [FCA CF] Significant management (since 18 Jul 2022)
• Ian Paul Craig

  IRN IPC00017

  • CF30 Customer (1 Nov 2007 to 5 Mar 2009)
  • CF21 Investment Adviser (29 Jul 2002 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 29 Jul 2002)
• Ian Stokoe

  IRN IMS00023

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Apr 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 20 Apr 2020)
  • CF30 Customer (29 Sep 2015 to 8 Dec 2019)
• Ian Towers

  IRN IXT06408

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Nov 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Nov 2023)
  • CF30 Customer (20 Sep 2018 to 8 Dec 2019)
• Isaac Steven Randall

  IRN ISR01027

  • CF30 Customer (6 Aug 2013 to 5 Nov 2014)
• Jacqueline Anne Nesbitt

  IRN JAN00010

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 17 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (8 Jul 2019 to 8 Dec 2019)
• James Baird Aird

  IRN JBA01016

  • [FCA CF] Significant management (9 Dec 2019 to 1 Jan 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Jan 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 11 Nov 2021)
• James Barrington

  IRN JXB01110

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 17 Jun 2022)
  • [FCA CF] Client dealing (since 17 Jun 2022)

No changes recorded yet.