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.

• Cera Lynne Taylor

  IRN CLT01060

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 21 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
• Charles MacEachen McGovern

  IRN CXM00481

  • [FCA CF] Manager of certification employee (3 Oct 2022 to 1 Nov 2023)
• Christopher Garland

  IRN CXG00099

  • CF21 Investment Adviser (1 Dec 2001 to 1 Jan 2004)
• Christopher John Bartlett

  IRN CJB00093

  • CF30 Customer (29 Apr 2010 to 15 Jul 2015)
• Christopher John Maguire

  IRN CJM01233

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Aug 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Aug 2021)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Christopher Julian Horner

  IRN CJH01151

  • SMF16 Compliance Oversight (4 Oct 2023 to 1 Feb 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (4 Oct 2023 to 1 Feb 2026)
• Claire Emma Catherine Marshall

  IRN CEM01029

  • [FCA CF] Significant management (14 Mar 2022 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (14 Mar 2022 to 31 Mar 2024)
• Claire Kathryn Hainey

  IRN CXH00412

  • [FCA CF] Significant management (23 Aug 2021 to 22 Jan 2023)
• Clara Margaret Jackson

  IRN CMJ01054

  • [FCA CF] Client dealing (18 Feb 2021 to 28 Aug 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Aug 2021)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Clare Alcock

  IRN CAA01070

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 17 Nov 2022)
  • [FCA CF] Functions requiring qualifications (since 17 Nov 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 18 Mar 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 Mar 2022)

No changes recorded yet.