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

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  • · 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

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  • · 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

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  • · 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.

• Brian Ronald Anderson

  IRN BRA01026

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Nov 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Nov 2023)
• Cameron Paul Beardmore

  IRN CPB01079

  • 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 25 Sep 2020)
  • [FCA CF] Functions requiring qualifications (since 25 Sep 2020)
• Carol Knee

  IRN CXK00066

  • [FCA CF] Manager of certification employee (since 26 May 2023)
• Carol Thomson Sneddon

  IRN CTS01028

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Jul 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 24 Jul 2020)
• Caroline Mary Connellan

  IRN CMC01199

  • SMF1 Chief Executive (13 Oct 2021 to 1 Aug 2022)
  • SMF3 Executive Director (13 Oct 2021 to 1 Aug 2022)
• Caroline Tye

  IRN CRL01025

  • [FCA CF] Manager of certification employee (2 May 2022 to 1 Sep 2023)
  • [FCA CF] Significant management (2 May 2022 to 1 Sep 2023)
• Casey Tarryn Graham

  IRN CTG01020

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Sep 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Sep 2022)
• Catherine Geary

  IRN CMS01120

  • [FCA CF] Client dealing (9 Dec 2019 to 23 Jul 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Jul 2021)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Catherine Nash

  IRN CXN00035

  • [FCA CF] Significant management (12 Jun 2020 to 19 Apr 2023)
• Ceara McGrory

  IRN CXM00401

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 21 Dec 2022)
  • [FCA CF] Client dealing (since 21 Dec 2022)

No changes recorded yet.