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.

• Linda Janet Rolls

  IRN LXR01156

  • CF21 Investment Adviser (26 May 2005 to 24 May 2006)
  • CF22 Investment Adviser (Trainee) (10 Mar 2004 to 26 May 2005)
• Lindsey Ann Hughes

  IRN LAB01122

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2021)
  • [FCA CF] Client dealing (since 9 Dec 2021)
• Lisa Lucchesi

  IRN LXL26274

  • [FCA CF] Material risk taker (30 Mar 2020 to 31 Dec 2022)
  • [FCA CF] Manager of certification employee (30 Mar 2020 to 28 Jan 2024)
  • [FCA CF] Significant management (30 Mar 2020 to 28 Jan 2024)
• Louise Elizabeth Ophelia Hewitt

  IRN LXA00024

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 6 May 2024)
  • [FCA CF] Client dealing (since 6 May 2024)
• Ludvig Frick

  IRN LLF00002

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 28 May 2024)
  • [FCA CF] Client dealing (since 28 May 2024)
• Luke Ashton

  IRN LDA01010

  • [FCA CF] Functions requiring qualifications (12 Nov 2021 to 15 Dec 2021)
  • [FCA CF] Client dealing (12 Nov 2021 to 15 Dec 2021)
• Lydia Buttinger

  IRN LXB00087

  • [FCA CF] Manager of certification employee (26 Feb 2021 to 28 Mar 2022)
  • [FCA CF] Material risk taker (29 Oct 2020 to 9 Sep 2021)
  • [FCA CF] Significant management (29 Oct 2020 to 28 Mar 2022)
• Lyndsay Robertson

  IRN LXR01491

  • [FCA CF] Client dealing (3 Oct 2022 to 17 Feb 2023)
  • [FCA CF] Functions requiring qualifications (3 Oct 2022 to 17 Feb 2023)
• Lynne Jacqueline Cutler

  IRN LJC00037

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Dec 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Dec 2023)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Lysanne Martha McBride

  IRN LMD01056

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 5 Jan 2023)
  • [FCA CF] Client dealing (since 5 Jan 2023)

No changes recorded yet.