ASCOT LLOYD FINANCIAL PLANNING LIMITED

Date authorised
1 April 2013
Companies House
01447544
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • William Donald Shaw

    IRN WDS00003

    • [FCA CF] Manager of certification employee (since 9 Dec 2021)
  • William Laurie Hart

    IRN WLH00001

    • CF30 Customer (1 Nov 2007 to 20 Dec 2013)
    • CF21 Investment Adviser (4 Dec 2006 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (4 Dec 2006 to 31 Oct 2007)
  • Yvonne Ruth Goodwin

    IRN YRS00001

    • CF21 Investment Adviser (1 Dec 2001 to 29 Jun 2007)
  • Zachary Jake Nicholas Purchase-Hill

    IRN ZXP00016

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 7 Oct 2025)
    • [FCA CF] Client dealing (since 7 Oct 2025)
  • Zeeshan Ashraf

    IRN ZXA00054

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 12 Aug 2024)
    • [FCA CF] Client dealing (since 12 Aug 2024)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.