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.

• Andrew Charles Beattie

  IRN ACB00021

  • [FCA CF] Client dealing (28 Sep 2020 to 1 Nov 2023)
  • [FCA CF] Functions requiring qualifications (28 Sep 2020 to 1 Nov 2023)
• Andrew Daniels

  IRN AXD77388

  • [FCA CF] Material risk taker (30 Mar 2020 to 25 Feb 2021)
  • [FCA CF] Significant management (30 Mar 2020 to 25 Feb 2021)
• Andrew David Miles

  IRN AXM00693

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 25 Jan 2022)
• Andrew Dickson

  IRN AXD00750

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 3 Jul 2024)
  • [FCA CF] Client dealing (since 3 Jul 2024)
• Andrew James Dunbar

  IRN AXD00753

  • [FCA CF] Manager of certification employee (13 Nov 2023 to 30 Sep 2025)
• Andrew Jeffrey Goldthorpe

  IRN AJG00053

  • CF30 Customer (17 Jul 2012 to 28 Nov 2016)
• Andrew John Ryan

  IRN AJR01395

  • [FCA CF] Functions requiring qualifications (15 Apr 2024 to 7 Nov 2025)
  • [FCA CF] Client dealing (15 Apr 2024 to 7 Nov 2025)
  • CF30 Customer (19 Sep 2018 to 8 Dec 2019)
• Andrew Kelly

  IRN AXK00083

  • [FCA CF] Significant management (9 Dec 2019 to 21 Dec 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Dec 2020)
• Andrew Kilby

  IRN AJK00024

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Nov 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Nov 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 Nov 2023)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Andrew Leslie Clarkson

  IRN ALC00003

  • [FCA CF] Functions requiring qualifications (30 Sep 2020 to 25 May 2023)
  • [FCA CF] Client dealing (30 Sep 2020 to 25 May 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.