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.

• Pranit Rai

  IRN PXR00221

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 17 May 2024)
  • [FCA CF] Functions requiring qualifications (since 17 May 2024)
• Rachel Harte

  IRN RAM01244

  • [FCA CF] Client dealing (9 Dec 2019 to 16 Aug 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Aug 2020)
  • CF30 Customer (18 Nov 2016 to 8 Dec 2019)
• Rebecca Ellison

  IRN RXE00223

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 2 Mar 2026)
  • [FCA CF] Client dealing (since 2 Mar 2026)
• Richard Anthony Gray

  IRN RAG00028

  • CF30 Customer (30 Jun 2017 to 9 Nov 2018)
• Richard John Carter

  IRN RJC01407

  • 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)
• Richard John Twigg

  IRN RJT01097

  • CF29 Significant management (23 Dec 2009 to 8 Dec 2010)
• Richard Malcolm Hayres

  IRN RMH01155

  • [FCA CF] Client dealing (9 Dec 2019 to 11 Nov 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 11 Nov 2023)
  • CF30 Customer (2 Oct 2015 to 8 Dec 2019)
• Richard Matthew Gray

  IRN RXG00178

  • [FCA CF] Significant management (9 Dec 2019 to 31 May 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2020)
• Richard McCreadie

  IRN RXM00836

  • [FCA CF] Client dealing (13 Nov 2023 to 30 Sep 2025)
• Richard Norman Bell

  IRN RNB00002

  • CF30 Customer (8 Jul 2015 to 14 Jul 2018)

No changes recorded yet.