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.

• James Corcoran

  IRN JPC01243

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 May 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 May 2023)
  • CF30 Customer (22 Sep 2014 to 8 Dec 2019)
• James Courtenay Roper

  IRN JCR00042

  • CF30 Customer (1 Nov 2007 to 11 Nov 2014)
  • CF21 Investment Adviser (28 Mar 2003 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 28 Mar 2003)
• James Derek Jones-Tinsley

  IRN JDJ01015

  • CF30 Customer (1 Nov 2007 to 27 Feb 2015)
  • CF21 Investment Adviser (19 Oct 2007 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (19 Oct 2007 to 31 Oct 2007)
• James Gerard Aitken

  IRN JGA00004

  • [FCA CF] Manager of certification employee (30 Mar 2023 to 17 Jul 2023)
• James Leslie

  IRN JXL00283

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 4 Oct 2021)
• James Neil Linton

  IRN JNL00010

  • [FCA CF] Client dealing (9 Dec 2019 to 3 Dec 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Dec 2021)
  • CF30 Customer (30 Jul 2019 to 8 Dec 2019)
• Jason Michael Windsor

  IRN JMW01117

  • [FCA CF] Manager of certification employee (since 23 Oct 2023)
  • [FCA CF] Significant management (since 23 Oct 2023)
• Jason Paul Holt

  IRN JPH01199

  • SMF17 Money Laundering Reporting Officer (MLRO) (28 Oct 2022 to 4 Oct 2023)
• Jayne Watson

  IRN JXW01926

  • CF30 Customer (5 Jun 2018 to 8 Apr 2019)
• Jeffrey Lawrence Cotton

  IRN JXC08635

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 12 Feb 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 12 Feb 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 12 Feb 2021)

No changes recorded yet.