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.

• David Campbell

  IRN DXC02379

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Aug 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 27 Aug 2021)
  • CF30 Customer (22 Aug 2017 to 8 Dec 2019)
• David Campbell Scott

  IRN DCS01059

  • [FCA CF] Manager of certification employee (16 Aug 2022 to 31 Mar 2024)
  • [FCA CF] Significant management (30 Mar 2022 to 31 Mar 2024)
• David George Barnes

  IRN DGB00051

  • [FCA CF] Manager of certification employee (30 Mar 2023 to 15 Aug 2025)
• David Graham Knight

  IRN DGK00001

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Mar 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Mar 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (31 Jul 2007 to 31 Oct 2007)
• David Holdsworth

  IRN DXH00160

  • CF30 Customer (1 Nov 2007 to 13 Apr 2017)
  • CF21 Investment Adviser (16 Jan 2007 to 31 Oct 2007)
• David James Crawford

  IRN DJC01368

  • 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)
• David Jeremy Stroomer

  IRN DJS00032

  • 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)
  • CF30 Customer (4 Oct 2010 to 8 Dec 2019)
• David John Cutter

  IRN DJC01246

  • CF2 Non Executive Director (26 Feb 2008 to 30 Nov 2012)
  • CF1 Director (25 Jan 2007 to 26 Feb 2008)
• David Martin Buckle

  IRN DMB00008

  • CF21 Investment Adviser (1 Dec 2001 to 4 Aug 2006)
  • CF1 Director (1 Dec 2001 to 4 Aug 2006)
• David Mitchell

  IRN DXM00558

  • [FCA CF] Significant management (1 Sep 2021 to 1 Nov 2021)

No changes recorded yet.