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.

• Alastair McDougall

  IRN AXM00055

  • [FCA CF] Manager of certification employee (26 May 2023 to 4 Apr 2025)
• Alex Robinson

  IRN ACR01107

  • CF2 Non Executive Director (20 Feb 2009 to 11 May 2015)
• Alexander Rielly Richardson

  IRN ARR00026

  • [FCA CF] Manager of certification employee (since 6 Jun 2025)
• Alison Holmes

  IRN AXH00724

  • [FCA CF] Material risk taker (31 May 2022 to 31 Dec 2022)
  • [FCA CF] Manager of certification employee (13 May 2022 to 17 May 2023)
  • [FCA CF] Significant management (13 May 2022 to 17 May 2023)
• Alison Jane Wilson

  IRN AJG00123

  • CF21 Investment Adviser (8 May 2002 to 29 Apr 2005)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 8 May 2002)
• Allan Stratford

  IRN ADS01239

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Nov 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Nov 2023)
• Alyson Maureen Brown

  IRN AMS00103

  • CF30 Customer (1 Nov 2007 to 29 Jan 2010)
  • CF21 Investment Adviser (31 Jul 2007 to 31 Oct 2007)
• Andrea Gertrude Martha Montague

  IRN AGM01167

  • CF28 Systems and controls (7 May 2015 to 25 Mar 2016)
• Andrea Proctor

  IRN AXP00170

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Andrew Barton

  IRN AJB01647

  • [FCA CF] Manager of certification employee (12 Nov 2021 to 24 May 2023)
  • [FCA CF] Significant management (24 Aug 2021 to 30 Sep 2023)

No changes recorded yet.