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

  Show 2 limitations Hide limitations

  • · 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.

• Peter Corry

  IRN PWC01068

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 22 Apr 2025)
  • [FCA CF] Client dealing (since 22 Apr 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 23 May 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 May 2024)
• Peter Demetri Efstathiou

  IRN PDE01029

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 2 Nov 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 25 May 2023)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Peter John Fidler

  IRN PJF00009

  • CF21 Investment Adviser (1 Dec 2001 to 30 May 2002)
• Peter John Leonard

  IRN PJL01125

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Dec 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Dec 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Dec 2021)
• Peter Martin Craddock

  IRN PMC00060

  • CF1 Director (26 Feb 2008 to 28 Feb 2011)
  • CF2 Non Executive Director (6 Feb 2006 to 26 Feb 2008)
• Peter Michael Fletcher

  IRN PXF00184

  • [FCA CF] Functions requiring qualifications (21 Jun 2022 to 27 Jul 2023)
  • [FCA CF] Client dealing (21 Jun 2022 to 27 Jul 2023)
• Peter Richard Heckingbottom

  IRN PRH00043

  • CF30 Customer (1 Nov 2007 to 21 Oct 2015)
  • CF1 Director (14 Feb 2006 to 21 Oct 2015)
  • CF21 Investment Adviser (19 Dec 2002 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (14 May 2002 to 19 Dec 2002)
• Peter William Schofield

  IRN PWS00001

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF24 Pension Transfer Specialist (31 Jul 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (31 Jul 2007 to 31 Oct 2007)
• Philip Anthony Morris

  IRN PAM00021

  • CF21 Investment Adviser (25 May 2005 to 7 Jun 2005)
  • CF22 Investment Adviser (Trainee) (6 Jan 2005 to 25 May 2005)
• Piers Alexander Larcombe

  IRN PAL01162

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 2 Nov 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)

No changes recorded yet.