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.

• Jennifer Aboagye-Nkansah

  IRN JXA00523

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 28 Apr 2023)
  • [FCA CF] Client dealing (since 28 Apr 2023)
• Jeremy Robert Dunne

  IRN JRD01085

  • CF10a CASS Oversight function (1 Oct 2011 to 11 Apr 2017)
  • CF1 Director (17 Oct 2002 to 5 Jul 2019)
• Joan MacMillan

  IRN JXM00291

  • [FCA CF] Significant management (1 Oct 2020 to 28 Feb 2023)
• John Alan Scotter

  IRN JAS01239

  • CF1 Director (20 May 2004 to 3 Jan 2006)
• John Colm Cunningham

  IRN JCC01144

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jan 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2024)
  • CF30 Customer (1 Nov 2017 to 8 Dec 2019)
• John Graham Goodfellow

  IRN JGG01029

  • CF1 Director (9 Feb 2006 to 26 Feb 2008)
  • CF2 Non Executive Director (20 May 2004 to 9 Feb 2006)
• John Joseph Gibson

  IRN JJG00001

  • CF2 Non Executive Director (20 May 2004 to 25 Jan 2006)
• John Marcus Liddle

  IRN JML01257

  • CF30 Customer (15 May 2018 to 9 Nov 2018)
• John Page

  IRN JXP77383

  • [FCA CF] Significant management (30 Mar 2020 to 1 Jan 2021)
  • [FCA CF] Material risk taker (30 Mar 2020 to 1 Jan 2021)
• John Pemberton

  IRN JXP01626

  • [FCA CF] Manager of certification employee (12 Feb 2021 to 29 Dec 2021)

No changes recorded yet.