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.

• Thomas James Lloyd

  IRN TJL01123

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Sep 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 30 Sep 2021)
  • CF28 Systems and controls (15 May 2019 to 8 Dec 2019)
• Timothy Johnson

  IRN TWJ00001

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Jan 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Jan 2021)
  • CF3 Chief Executive (9 Sep 2009 to 31 Dec 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (2 Mar 2006 to 31 Dec 2016)
  • CF8 Apportionment and Oversight (2 Mar 2006 to 31 Oct 2007)
  • CF1 Director (7 May 2003 to 18 Jul 2017)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Timothy Michael Robinson

  IRN TMR00006

  • CF30 Customer (1 Nov 2007 to 5 Oct 2012)
  • CF21 Investment Adviser (31 May 2006 to 31 Oct 2007)
• Timothy Pakenham

  IRN TXP00416

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

  IRN TLF00002

  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Trevor Jones

  IRN TXJ00005

  • CF30 Customer (1 Nov 2007 to 1 Apr 2009)
  • CF8 Apportionment and Oversight (11 Jul 2003 to 1 Feb 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 1 Feb 2006)
• Tyrone Mario Samsonroy

  IRN TMS01079

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 12 Nov 2021)
  • [FCA CF] Functions requiring qualifications (since 12 Nov 2021)
• Victoria Margaret Macrae

  IRN VMA01000

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

  IRN VXM00073

  • [FCA CF] Client dealing (5 Jan 2023 to 7 Jun 2024)
  • [FCA CF] Functions requiring qualifications (5 Jan 2023 to 7 Jun 2024)
• Vimal Parmar

  IRN VXP01133

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Sep 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 12 Sep 2025)

No changes recorded yet.