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.

• Jay Dorrington

  IRN JXD00344

  • [FCA CF] Significant management (since 11 Mar 2021)
• Jeffrey Nesanelis

  IRN JXN01337

  • [FCA CF] Significant management (6 Aug 2021 to 31 Oct 2023)
• Jessica Anne Brescia

  IRN JAB01552

  • SMF3 Executive Director (23 Mar 2022 to 12 Sep 2025)
  • SMF16 Compliance Oversight (3 Jul 2020 to 7 Aug 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (3 Jul 2020 to 7 Aug 2025)
• Jonathan James Whiticar

  IRN JJW01089

  • CF2 Non Executive Director (10 Oct 2016 to 3 Dec 2018)
• Katrina Cockram

  IRN KXC00438

  • [FCA CF] Significant management (since 23 Sep 2024)
• Kevin Hugh Ronaldson

  IRN KHR01004

  • CF3 Chief Executive (9 Feb 2015 to 1 Sep 2015)
  • CF11 Money Laundering Reporting (9 Feb 2015 to 1 Sep 2015)
  • CF10 Compliance Oversight (9 Feb 2015 to 1 Sep 2015)
  • CF1 Director (9 Feb 2015 to 1 Sep 2015)
• Mariana Kostadinova

  IRN MXK00535

  • [FCA CF] Client dealing (5 Jul 2022 to 31 Oct 2023)
  • [FCA CF] Functions requiring qualifications (5 Jul 2022 to 31 Oct 2023)
• Mario Adario

  IRN MXA01650

  • CF2 Non Executive Director (9 Feb 2015 to 10 Oct 2016)
• Matthew Charles Moore

  IRN MCM01123

  • CF1 Director (18 Mar 2016 to 25 Oct 2019)
• Mehrdad Yousefian

  IRN MXY00006

  • CF30 Customer (26 May 2015 to 8 Dec 2019)

No changes recorded yet.