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

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  • · 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.

• Ross Nicholas Cooper

  IRN RNC01043

  • [FCA CF] Manager of certification employee (since 4 Oct 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Mar 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 Jun 2021)
• Runa Begum

  IRN RXB15324

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Jun 2022)
  • CF11 Money Laundering Reporting (2 Aug 2019 to 8 Dec 2019)
• Rushad Abadan

  IRN RXA77290

  • [FCA CF] Significant management (19 Dec 2019 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Mar 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
• Ryan Watt

  IRN RXW00234

  • [FCA CF] Client dealing (30 Sep 2020 to 9 Mar 2023)
  • [FCA CF] Functions requiring qualifications (30 Sep 2020 to 9 Mar 2023)
• Sally Louise Matthews

  IRN SLM00026

  • CF30 Customer (30 Jun 2017 to 29 May 2018)
• Sally-Ann Follows

  IRN SXF00227

  • [FCA CF] Significant management (7 May 2021 to 31 May 2023)
• Sam Thomas Probert

  IRN STP01035

  • CF30 Customer (30 Dec 2013 to 19 Dec 2014)
• Samuel David Currie

  IRN SDC01072

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 13 Nov 2020)
  • [FCA CF] Client dealing (since 13 Nov 2020)
• Sara Lloyd

  IRN SXL02210

  • [FCA CF] Functions requiring qualifications (27 Jun 2023 to 1 Nov 2023)
  • [FCA CF] Client dealing (27 Jun 2023 to 1 Nov 2023)
• Sarah Deaves

  IRN SJD01183

  • Responsible for Insurance Distribution (9 May 2023 to 23 Feb 2024)
  • SMF3 Executive Director (3 Oct 2022 to 23 Feb 2024)

No changes recorded yet.