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.

• Justin George Scott

  IRN JXS01383

  • [FCA CF] Client dealing (27 Jun 2023 to 30 Sep 2025)
  • [FCA CF] Functions requiring qualifications (27 Jun 2023 to 30 Sep 2025)
• Justin Purcell

  IRN JEP00051

  • [FCA CF] Manager of certification employee (30 Sep 2021 to 25 Jul 2022)
• Karen Jane Dix

  IRN KJD00026

  • CF21 Investment Adviser (1 Dec 2001 to 2 May 2003)
• Karen Louise Clews

  IRN KXC00141

  • [FCA CF] Significant management (since 17 Feb 2023)
  • [FCA CF] Manager of certification employee (since 17 Feb 2023)
  • SMF3 Executive Director (20 Oct 2021 to 17 Feb 2023)
  • [FCA CF] Manager of certification employee (25 Jan 2021 to 20 Oct 2021)
• Karen Marie Streets

  IRN KMC00014

  • [FCA CF] Manager of certification employee (since 24 Feb 2025)
• Karen Michelle Nelson

  IRN KMN01025

  • CF30 Customer (1 Nov 2007 to 6 Jul 2010)
  • CF21 Investment Adviser (23 Feb 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (18 Feb 2005 to 23 Feb 2006)
• Karen Thompson

  IRN KXJ01167

  • CF30 Customer (3 Mar 2008 to 6 Oct 2008)
• Karl Lawrence Fox

  IRN KLF00001

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 May 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 May 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (31 Jul 2007 to 31 Oct 2007)
• Kate MacDonald Turner

  IRN KMT01030

  • [FCA CF] Manager of certification employee (7 May 2024 to 22 Oct 2024)
• Katherine Grant

  IRN KXG01293

  • [FCA CF] Functions requiring qualifications (5 Oct 2023 to 5 Sep 2025)
  • [FCA CF] Client dealing (5 Oct 2023 to 5 Sep 2025)

No changes recorded yet.