Ascot Lloyd Investment Management Limited

Date authorised
9 February 2015
Companies House
08197347
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Authorised to Operate

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Steven Paul Lloyd

    IRN SPL01099

    • [FCA CF] Manager of certification employee (17 Nov 2022 to 12 Feb 2025)
    • [FCA CF] Significant management (17 Nov 2022 to 12 Feb 2025)
    • [FCA CF] Client dealing (8 Jul 2021 to 17 Nov 2022)
    • [FCA CF] Material risk taker (8 Jul 2021 to 12 Feb 2025)
    • [FCA CF] Functions requiring qualifications (8 Jul 2021 to 17 Nov 2022)
    • SMF3 Executive Director (9 Dec 2019 to 12 Feb 2025)
    • CF1 Director (5 Oct 2016 to 8 Dec 2019)
    • CF30 Customer (9 Feb 2015 to 8 Dec 2019)
  • William Edward Hasted

    IRN WXH11154

    • [FCA CF] Material risk taker (since 30 Mar 2021)
    • [FCA CF] Significant management (since 30 Mar 2021)
    • CF30 Customer (7 Feb 2019 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.