Ascot Lloyd Investment Management Limited

• Principal Place of Business

  Ascot Lloyd, 45 Church Street

  Birmingham

  Birmingham

  B3 2RT

  UNITED KINGDOM

  Phone

  +443454757500

  Web

  https://www.ascotlloyd.co.uk/im

• Complaints Contact

  Ascot Lloyd, 45 Church Street

  Birmingham

  Birmingham

  B3 2RT

  UNITED KINGDOM

  Phone

  +443454757500

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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.

• Claire Rebecca Armstrong

  IRN CRM01095

  • [FCA CF] Significant management (23 Mar 2021 to 6 Jun 2022)
• David Morcher

  IRN DXM02986

  • 14. Managing investments
  • SMF3 Executive Director (since 5 Sep 2025)
  • [FCA CF] Material risk taker (since 3 Mar 2023)
  • [FCA CF] Significant management (since 3 Mar 2023)
  • [FCA CF] Functions requiring qualifications (since 3 Mar 2023)
• Dawn Pearce-Herzberg

  IRN DXP01881

  • CF1 Director (9 Feb 2015 to 29 May 2015)
• Dominic John Wynyard Rose

  IRN DJR01310

  • CF1 Director (9 Feb 2015 to 18 Mar 2016)
• Emma Mitchinson

  IRN EXM00402

  • [FCA CF] Significant management (25 Jan 2024 to 5 Jul 2024)
• Erika Coomer

  IRN EXC00144

  • [FCA CF] Significant management (23 Mar 2021 to 31 Dec 2025)
• Felice Kirsten Rea

  IRN FKR01004

  • [FCA CF] Manager of certification employee (since 17 Nov 2022)
  • [FCA CF] Material risk taker (since 8 Jul 2021)
  • SMF3 Executive Director (since 23 Mar 2020)
• Francis Joseph Jackson

  IRN FJJ01006

  • SMF1 Chief Executive (since 8 Nov 2024)
  • SMF3 Executive Director (since 8 Nov 2024)
• Graham Bentley

  IRN GXB77729

  • SMF3 Executive Director (17 Mar 2022 to 30 Sep 2025)
  • SMF9 Chair of the Governing Body (23 Jul 2020 to 8 Jun 2022)
• James Hafetz Peer

  IRN JHP01093

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 11 Nov 2022)
  • [FCA CF] Client dealing (since 11 Nov 2022)

No changes recorded yet.