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.

• Keith Graham Dunsmuir

  IRN KGD01013

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
• Kerry Corden

  IRN KXL00070

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jan 2022)
• Kevin Anthony Motion

  IRN KAM01219

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Nov 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Nov 2023)
• Kevin Sutton

  IRN KXS00107

  • [FCA CF] Significant management (since 3 Dec 2025)
  • [FCA CF] Manager of certification employee (1 Oct 2024 to 3 Dec 2025)
• Laura Marshall

  IRN LXJ01060

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 14 Aug 2023)
  • [FCA CF] Functions requiring qualifications (since 14 Aug 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 Feb 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Feb 2022)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Lauren Duffy

  IRN LXD00267

  • [FCA CF] Functions requiring qualifications (11 Nov 2022 to 15 Jan 2025)
  • [FCA CF] Client dealing (11 Nov 2022 to 15 Jan 2025)
• Lee Anthony Westley

  IRN LAW01066

  • CF30 Customer (29 Jun 2017 to 1 Feb 2018)
• Lee Raymond Fellows

  IRN LRF00010

  • [FCA CF] Client dealing (9 Dec 2019 to 3 Sep 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Sep 2020)
• Lewis Alex James MacLennan

  IRN LAM01160

  • [FCA CF] Functions requiring qualifications (15 Jan 2024 to 29 Apr 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 2 May 2023)
• Lewis Hardman

  IRN LTH01019

  • [FCA CF] Client dealing (26 Feb 2020 to 21 Jan 2022)
  • [FCA CF] Functions requiring qualifications (26 Feb 2020 to 21 Jan 2022)

No changes recorded yet.