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.

• Neil James Messenger

  IRN NJM00007

  • Responsibility for MCD Intermediation (7 May 2021 to 30 Sep 2021)
  • SMF3 Executive Director (7 May 2021 to 30 Sep 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 7 May 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 7 May 2021)
• Neil Lindsay Nicholson Machray

  IRN NLM01023

  • [FCA CF] Material risk taker (9 Dec 2019 to 22 Jun 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 22 Jun 2020)
  • CF28 Systems and controls (20 May 2016 to 29 Nov 2018)
• Neil Ormondroyd

  IRN NXO00002

  • CF30 Customer (1 Nov 2007 to 12 Jan 2009)
  • CF1 Director (7 May 2003 to 31 Dec 2006)
  • CF21 Investment Adviser (18 Jul 2002 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 18 Jul 2002)
• Neil Reader

  IRN NXR00011

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 12 May 2023)
  • [FCA CF] Client dealing (since 12 May 2023)
• Neil Winser

  IRN NXW01218

  • [FCA CF] Manager of certification employee (1 Apr 2020 to 31 Mar 2025)
  • [FCA CF] Client dealing (1 Apr 2020 to 9 Aug 2023)
• Nicholas Burt

  IRN NWB01024

  • [FCA CF] Functions requiring qualifications (12 Nov 2021 to 23 Feb 2022)
  • [FCA CF] Client dealing (12 Nov 2021 to 23 Feb 2022)
• Nicholas Charles Conyers

  IRN NCC00004

  • Responsible for Insurance Mediation (14 Jan 2005 to 21 Feb 2006)
  • CF8 Apportionment and Oversight (29 Oct 2002 to 24 Jan 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 18 Jan 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Apr 2004)
  • CF1 Director (1 Dec 2001 to 13 May 2005)
• Nicholas Edward Thomas Booker

  IRN NEB01046

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Sep 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Sep 2021)
• Nicholas Gerarde Wilson

  IRN NGW00005

  • [FCA CF] Significant management (9 Dec 2019 to 1 Jan 2024)
  • CF30 Customer (1 Nov 2007 to 5 Oct 2012)
  • CF11 Money Laundering Reporting (20 May 2004 to 1 Aug 2019)
  • CF1 Director (26 Apr 2004 to 2 Oct 2019)
  • CF10 Compliance Oversight (26 Apr 2004 to 1 Aug 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Nicholas James Butcher

  IRN NJB00019

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2024)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)

No changes recorded yet.