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.

• Paul Biggin

  IRN PJB01334

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Sep 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Sep 2023)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Paul Charles McAteer

  IRN PCM01088

  • CF22 Investment Adviser (Trainee) (31 May 2006 to 29 Sep 2006)
• Paul David Apple

  IRN PDA00002

  • CF30 Customer (6 Jun 2014 to 20 Feb 2015)
• Paul Hughes

  IRN PJH01181

  • [FCA CF] Material risk taker (17 Feb 2020 to 9 Sep 2021)
  • [FCA CF] Significant management (17 Feb 2020 to 15 Aug 2022)
• Paul James Titterton

  IRN PXT00054

  • SMF3 Executive Director (30 Jun 2022 to 31 May 2023)
• Paul Jonathan Sayer

  IRN PJS00011

  • CF24 Pension Transfer Specialist (10 Dec 2002 to 10 Nov 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 10 Nov 2006)
• Paul Scott

  IRN PXS01825

  • CF1 Director (30 Jun 2006 to 22 Nov 2013)
• Paul Witham

  IRN PXW01628

  • [FCA CF] Client dealing (19 May 2023 to 5 Nov 2025)
  • [FCA CF] Functions requiring qualifications (19 May 2023 to 5 Nov 2025)
• Perry Rapley

  IRN PXR00142

  • 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)
  • CF1 Director (12 Oct 2010 to 4 Jan 2017)
  • CF30 Customer (12 Oct 2010 to 8 Dec 2019)
• Peter Andrew Loughridge

  IRN PXL01235

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Sep 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 20 Sep 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 20 Sep 2022)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)

No changes recorded yet.