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.

• Andrew Paul King

  IRN APK00010

  • CF21 Investment Adviser (28 Jun 2002 to 12 Mar 2004)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 28 Jun 2002)
• Andrew Pearson

  IRN AXP00019

  • CF11 Money Laundering Reporting (21 Jan 2004 to 12 May 2004)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 14 Oct 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 1 Jan 2004)
  • CF1 Director (1 Dec 2001 to 2 Jan 2005)
• Andrew Simon Strickland

  IRN ASS01130

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Nov 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Nov 2023)
• Andrew Simon Warner

  IRN ASW01150

  • CF28 Systems and controls (12 Jul 2019 to 16 Aug 2019)
  • CF1 Director (12 Jul 2019 to 16 Aug 2019)
• Andrew Stewart

  IRN AXS05232

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 3 Jul 2024)
  • [FCA CF] Functions requiring qualifications (since 3 Jul 2024)
• Andy Dow

  IRN AXD00310

  • [FCA CF] Significant management (2 May 2022 to 12 May 2023)
• Angela Davidson

  IRN AXT01596

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Nov 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Nov 2023)
• Anna Huck

  IRN AXN00111

  • [FCA CF] Functions requiring qualifications (28 Oct 2020 to 11 Nov 2023)
  • [FCA CF] Client dealing (28 Oct 2020 to 11 Nov 2023)
• Anna McDaid

  IRN AXM13739

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 26 Apr 2023)
  • [FCA CF] Functions requiring qualifications (since 26 Apr 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 6 May 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 May 2022)
• Anne Alderton

  IRN AXY00009

  • CF30 Customer (18 Jan 2008 to 19 Sep 2008)

No changes recorded yet.