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

  Show 2 limitations Hide 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 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.

• Anthony Alexander Decunha

  IRN AAD01024

  • CF30 Customer (22 Jul 2009 to 30 Sep 2011)
• Anthony David Roberts

  IRN ADR00001

  • CF30 Customer (1 Nov 2007 to 16 Oct 2008)
  • CF21 Investment Adviser (4 Dec 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (15 Sep 2006 to 4 Dec 2006)
• Anura Gamini Mahaarachchige Nanayakkara

  IRN AGN01015

  • [FCA CF] Functions requiring qualifications (12 Nov 2021 to 25 May 2022)
  • [FCA CF] Client dealing (12 Nov 2021 to 25 May 2022)
• Avril Elizabeth Adams

  IRN AEA00006

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Jun 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 Jun 2021)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Barry Gordon Doggett

  IRN BGD00004

  • [FCA CF] Functions requiring qualifications (2 Nov 2023 to 19 Jul 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 19 Jul 2024)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Barry James Kane

  IRN BXK08640

  • SMF16 Compliance Oversight (since 10 Feb 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Feb 2026)
  • SMF16 Compliance Oversight (24 Feb 2021 to 4 Oct 2023)
• Barry William Lambourne

  IRN BWL00004

  • CF30 Customer (4 Oct 2010 to 20 Jun 2012)
• Ben Waterhouse

  IRN BPW01040

  • SMF3 Executive Director (since 9 Feb 2026)
• Bhumik Patel

  IRN BXP00305

  • [FCA CF] Client dealing (31 Dec 2024 to 8 Apr 2025)
  • [FCA CF] Functions requiring qualifications (31 Dec 2024 to 8 Apr 2025)
• Brett Owen Smith

  IRN BOS00003

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 2 Nov 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)

No changes recorded yet.