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.

• Michael Damian Egan

  IRN MDE00002

  • 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)
  • CF30 Customer (9 Dec 2015 to 8 Dec 2019)
• Michael Francis William Cullinane

  IRN MXC08399

  • [FCA CF] Client dealing (9 Dec 2019 to 12 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 12 Dec 2019)
• Michael Gordon Blair

  IRN MXB02258

  • [FCA CF] Significant management (7 Sep 2022 to 31 Jul 2023)
• Michael Murphy

  IRN MJM00118

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Jan 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Jan 2024)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Michael Philip Connor Wharton

  IRN MPW01084

  • CF30 Customer (1 Nov 2007 to 8 Dec 2008)
  • CF21 Investment Adviser (3 Aug 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (12 Jun 2006 to 3 Aug 2007)
• Michelle Coulson

  IRN MAH00018

  • [FCA CF] Manager of certification employee (since 9 Apr 2025)
• Michelle Louise Strong

  IRN MLH00011

  • CF30 Customer (1 Nov 2007 to 11 Nov 2014)
  • CF21 Investment Adviser (3 Aug 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (8 Jan 2007 to 3 Aug 2007)
• Nader Razak

  IRN NXR00160

  • [FCA CF] Functions requiring qualifications (30 Nov 2021 to 16 Aug 2023)
  • [FCA CF] Client dealing (30 Nov 2021 to 16 Aug 2023)
• Nasima Begum

  IRN NXB00262

  • [FCA CF] Significant management (5 Jul 2021 to 26 Aug 2022)
• Neal Conrad Dewson

  IRN NCD00003

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (4 Oct 2010 to 8 Dec 2019)

No changes recorded yet.