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.

• Clive Terence Grant

  IRN CTG00003

  • CF30 Customer (1 Nov 2007 to 30 Apr 2016)
  • CF1 Director (1 Dec 2001 to 30 Apr 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Colin James Hazelton

  IRN CJH00028

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Colin McAdam

  IRN CXM00344

  • [FCA CF] Client dealing (9 Dec 2019 to 16 Nov 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 16 Nov 2020)
• Colin McCracken Dyer

  IRN CMD00005

  • [FCA CF] Manager of certification employee (17 Feb 2023 to 11 Jan 2024)
  • Responsible for Insurance Distribution (12 Mar 2021 to 17 Feb 2023)
  • SMF3 Executive Director (12 Mar 2021 to 17 Feb 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 12 Mar 2021)
• Cuan Michael Tait

  IRN CMT01104

  • [FCA CF] Functions requiring qualifications (30 Sep 2021 to 19 Nov 2022)
  • [FCA CF] Client dealing (30 Sep 2021 to 19 Nov 2022)
• Daniel Afolabi Sawyerr

  IRN DAS01291

  • CF30 Customer (30 Nov 2019 to 30 Nov 2019)
• Daniel Joseph Shiel

  IRN DJS00018

  • CF21 Investment Adviser (21 Sep 2002 to 3 Oct 2002)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 21 Sep 2002)
• Daniel Marchant

  IRN DXM02320

  • [FCA CF] Functions requiring qualifications (25 Sep 2020 to 25 Aug 2023)
  • [FCA CF] Client dealing (25 Sep 2020 to 25 Aug 2023)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Daniel Morris Hecht

  IRN DMH01179

  • [FCA CF] Client dealing (25 Sep 2020 to 1 Nov 2023)
  • [FCA CF] Functions requiring qualifications (25 Sep 2020 to 1 Nov 2023)
• David Abbott

  IRN DXA00008

  • CF21 Investment Adviser (1 Dec 2001 to 1 Jul 2005)

No changes recorded yet.