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.

• Steven Grant Murray

  IRN SGM01111

  • CF1 Director (7 May 2015 to 1 Oct 2018)
• Steven James Sutton

  IRN SJS01290

  • CF30 Customer (1 Nov 2007 to 25 Sep 2009)
  • CF22 Investment Adviser (Trainee) (1 Jun 2006 to 31 Oct 2007)
• Steven Lloyd

  IRN SXL00006

  • CF1 Director (17 Mar 2017 to 30 Aug 2019)
  • CF30 Customer (7 Sep 2015 to 25 Apr 2019)
• Steven Whalley

  IRN SXW19157

  • [FCA CF] Material risk taker (30 Mar 2020 to 31 Dec 2020)
  • [FCA CF] Significant management (30 Mar 2020 to 31 Dec 2020)
  • [FCA CF] Manager of certification employee (30 Mar 2020 to 31 Dec 2020)
• Stuart Bouglas

  IRN SJB01602

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 3 Jan 2023)
  • [FCA CF] Client dealing (since 3 Jan 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 11 Apr 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 11 Apr 2022)
• Stuart Paul Mitchell

  IRN SPM01091

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Jun 2025)
• Susan Bainbridge

  IRN SXB02195

  • CF30 Customer (3 Mar 2008 to 12 Jan 2009)
• Susan O'Donnell

  IRN SXO00029

  • CF30 Customer (1 Nov 2007 to 19 Jul 2013)
  • CF21 Investment Adviser (23 Feb 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (10 Mar 2005 to 23 Feb 2006)
• Tamsin Jane Balfour

  IRN TJB01139

  • [FCA CF] Significant management (9 Dec 2019 to 6 Mar 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 9 Sep 2021)
• Terry Yuk Leung Tsang

  IRN TXT00048

  • [FCA CF] Significant management (9 Sep 2022 to 31 Mar 2024)

No changes recorded yet.