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

  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.

• Simon David Livings

  IRN SDL01042

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 4 Jun 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 4 Jun 2020)
• Simon Jeremy Holt

  IRN SJH00007

  • CF2 Non Executive Director (20 May 2004 to 25 Jan 2006)
• Simon Jonathan Joy

  IRN SJJ00014

  • [FCA CF] Client dealing (9 Dec 2019 to 25 May 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 25 May 2023)
• Simon Vella

  IRN SXV01161

  • SMF3 Executive Director (since 17 Feb 2026)
• Sophie Ann Sampson

  IRN SXS85931

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 3 Mar 2025)
  • [FCA CF] Functions requiring qualifications (since 3 Mar 2025)
• Sophie Louise Walkingshaw

  IRN SXW00776

  • [FCA CF] Functions requiring qualifications (3 Jul 2023 to 31 May 2024)
  • [FCA CF] Client dealing (3 Jul 2023 to 31 May 2024)
• Stephanie Jane Bruce

  IRN SJB01716

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 May 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 10 May 2023)
• Stephen Roy Jones

  IRN SRJ01030

  • [FCA CF] Manager of certification employee (20 Jan 2022 to 2 May 2022)
  • [FCA CF] Significant management (20 Jan 2022 to 2 May 2022)
• Stephen Whitehead

  IRN SXW77558

  • [FCA CF] Significant management (9 Dec 2019 to 31 Mar 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 21 Dec 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Mar 2023)
• Steven Gordon

  IRN SXG84031

  • [FCA CF] Significant management (19 Dec 2019 to 31 Mar 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 9 Sep 2021)

No changes recorded yet.