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.

• John Peter Metcalf

  IRN JPM00013

  • CF30 Customer (1 Nov 2007 to 13 Jun 2016)
  • CF1 Director (7 May 2003 to 13 Jun 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• John Tumilty

  IRN JXT02036

  • [FCA CF] Significant management (since 13 Nov 2023)
  • [FCA CF] Manager of certification employee (since 13 Nov 2023)
• Jonathan Charles Bray

  IRN JCB00080

  • [FCA CF] Client dealing (9 Dec 2019 to 11 Nov 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 11 Nov 2023)
  • CF30 Customer (8 Feb 2019 to 8 Dec 2019)
• Jonathan Fisher

  IRN JSF01059

  • [FCA CF] Client dealing (9 Dec 2019 to 20 Jun 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Jun 2020)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Jonathan Marcus Wintle

  IRN JMW00006

  • [FCA CF] Manager of certification employee (since 26 May 2023)
• Joseph Walker

  IRN JXW00827

  • [FCA CF] Functions requiring qualifications (9 Jan 2023 to 27 Feb 2024)
  • [FCA CF] Client dealing (9 Jan 2023 to 27 Feb 2024)
• Joshua Jack Meynell

  IRN JXM01100

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 5 Jul 2022)
  • [FCA CF] Functions requiring qualifications (since 5 Jul 2022)
• Julie Agnes Russell

  IRN JAR00026

  • SMF3 Executive Director (9 Dec 2019 to 30 Nov 2020)
  • Responsible for Insurance Distribution (1 Oct 2018 to 30 Nov 2020)
  • CF3 Chief Executive (25 Jul 2017 to 1 Nov 2019)
  • Responsible for Insurance Mediation (24 Mar 2017 to 30 Sep 2018)
  • CF1 Director (5 May 2015 to 8 Dec 2019)
• Julie Ann Hyde

  IRN JAP00005

  • CF21 Investment Adviser (1 Dec 2001 to 2 May 2003)
• Julie Scott

  IRN JFS00009

  • SMF1 Chief Executive (5 Feb 2020 to 12 Mar 2021)
  • SMF3 Executive Director (9 Dec 2019 to 12 Mar 2021)
  • CF1 Director (1 Jun 2018 to 8 Dec 2019)

No changes recorded yet.