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.

• Richard Parker

  IRN RAP00047

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Aug 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 14 Aug 2025)
  • CF30 Customer (16 Aug 2012 to 8 Dec 2019)
• Richard Simon Wilson

  IRN RSW01076

  • SMF3 Executive Director (26 Jan 2023 to 1 Feb 2026)
  • SMF1 Chief Executive (26 Jan 2023 to 1 Feb 2026)
  • [FCA CF] Significant management (15 Dec 2022 to 26 Jan 2023)
• Richard Thomas Speight

  IRN RTS01048

  • CF30 Customer (26 Jun 2008 to 10 Jun 2010)
• Robert Alexander Draffin

  IRN RAD01168

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jul 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2024)
  • CF30 Customer (3 Aug 2019 to 8 Dec 2019)
• Robert Borrill

  IRN RJB00102

  • CF30 Customer (1 Nov 2007 to 22 Apr 2014)
  • CF21 Investment Adviser (18 Jul 2002 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 18 Jul 2002)
• Robert David Gareth Glendinning

  IRN RDG00006

  • [FCA CF] Client dealing (9 Dec 2019 to 24 Jan 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Jan 2020)
  • CF30 Customer (4 Jul 2018 to 8 Dec 2019)
• Robert Martin Treweek

  IRN RMT00014

  • CF30 Customer (1 Nov 2007 to 11 Nov 2014)
  • CF21 Investment Adviser (26 Mar 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (25 Apr 2003 to 26 Mar 2004)
• Robin Lee

  IRN RXL00008

  • CF1 Director (1 Dec 2001 to 31 Dec 2006)
• Rosemary Boyd Thomson

  IRN RBT01034

  • [FCA CF] Material risk taker (9 Dec 2020 to 31 Mar 2021)
  • [FCA CF] Significant management (9 Dec 2020 to 31 Mar 2021)
• Ross Gregor Hunter

  IRN RGH01111

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Nov 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Nov 2023)

No changes recorded yet.