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.

• Maghfoor Ahmed

  IRN MXA01072

  • [FCA CF] Significant management (since 15 Apr 2024)
• Marie Jackson

  IRN MXC00281

  • CF21 Investment Adviser (22 Dec 2003 to 23 Mar 2005)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 28 Jun 2002)
• Mark Anthony Keryell

  IRN MAK01109

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 18 Aug 2021)
  • [FCA CF] Functions requiring qualifications (since 18 Aug 2021)
• Mark Carter

  IRN MTC01071

  • [FCA CF] Manager of certification employee (28 Jun 2021 to 31 Jan 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2025)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Mark Hardiman

  IRN MXH91165

  • [FCA CF] Significant management (7 Nov 2022 to 27 Feb 2024)
• Mark Russell Fleet

  IRN MRF00018

  • CF2 Non Executive Director (10 Jan 2013 to 31 Dec 2014)
  • CF1 Director (24 May 2011 to 10 Jan 2013)
• Mark Tootill

  IRN MST00012

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 24 Nov 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 24 Nov 2020)
  • CF1 Director (7 Jul 2017 to 1 Nov 2019)
• Martin James Hendry

  IRN MXH06322

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2022)
• Martin Jeffrey Hunt

  IRN MJH01588

  • CF30 Customer (11 Jan 2011 to 1 Jun 2012)
• Martin Peter Shanks

  IRN MPS01144

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Mar 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Mar 2022)

No changes recorded yet.