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.

• Nicholas Pike

  IRN NXP01272

  • [FCA CF] Functions requiring qualifications (2 Nov 2023 to 30 Sep 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (8 Dec 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (31 May 2006 to 8 Dec 2006)
• Nishma Waite

  IRN NXM01112

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Dec 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 29 Dec 2023)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Njideka Chidinma Lorimer

  IRN NCL01041

  • CF30 Customer (30 Nov 2019 to 30 Nov 2019)
• Noel Thomas Butwell

  IRN NXB08354

  • SMF1 Chief Executive (25 Jun 2021 to 15 Oct 2021)
  • SMF3 Executive Director (9 Dec 2019 to 15 Oct 2021)
  • CF1 Director (20 Nov 2019 to 8 Dec 2019)
• Norman Keith Skeoch

  IRN NKS01009

  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Sep 2020)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Sep 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 1 Sep 2020)
• Oliver Christopher Matthew Bridgman

  IRN OCB01010

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Oct 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 Oct 2021)
• Oliver Thomas Maun

  IRN OXM00131

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 7 Jan 2025)
  • [FCA CF] Client dealing (since 7 Jan 2025)
• Pamela Byram

  IRN PXB01447

  • CF21 Investment Adviser (2 Apr 2004 to 29 Oct 2004)
  • CF22 Investment Adviser (Trainee) (10 Nov 2003 to 2 Apr 2004)
• Patrick Michael Roderick Haines

  IRN PMH00038

  • [FCA CF] Functions requiring qualifications (2 Nov 2023 to 7 Jun 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 7 Jun 2024)
• Paul Andrew Wood

  IRN PAW00022

  • CF21 Investment Adviser (1 Dec 2001 to 1 Apr 2005)

No changes recorded yet.