Ascot Lloyd Limited

• Principal Place of Business

  Ascot Lloyd, 45 Church Street

  Birmingham

  Birmingham

  B3 2RT

  UNITED KINGDOM

  Phone

  +4403454757500

  Web

  https://www.ascotlloyd.co.uk

• Complaints Contact

  Ascot Lloyd, 45 Church Street

  Birmingham

  Birmingham

  B3 2RT

  UNITED KINGDOM

  Phone

  +4403454757500

• Buy-to-Let Mortgage Advice

• Pension Transfer Advice

  For 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

  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.

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Debenture, Funeral plan contract, 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

  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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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 Commercial, Retail (Investment), Retail (Non-Investment Insurance), Debenture, Funeral plan contract, 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

  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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit

  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 Status

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Debenture, Funeral plan contract, 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

  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.

• Craig Goodswen

  IRN CXG00261

  • [FCA CF] Significant management (22 Jun 2021 to 6 Jun 2025)
• Craig McLaren

  IRN CXM01153

  • [FCA CF] Client dealing (30 Oct 2024 to 18 Jul 2025)
  • [FCA CF] Functions requiring qualifications (30 Oct 2024 to 18 Jul 2025)
• Daniel Joseph Anthony Boyle

  IRN DJB00093

  • [FCA CF] Functions requiring qualifications (1 Jun 2020 to 30 Nov 2020)
  • [FCA CF] Client dealing (1 Jun 2020 to 30 Nov 2020)
• Darren John Mason

  IRN DJM01433

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 21 Dec 2020)
  • [FCA CF] Client dealing (since 21 Dec 2020)
  • CF30 Customer (30 May 2019 to 8 Dec 2019)
• David Burns

  IRN DRB01082

  • CF30 Customer (28 Sep 2017 to 1 Dec 2017)
• David Charles Bywater

  IRN DCB00012

  • [FCA CF] Client dealing (30 Mar 2021 to 1 May 2025)
  • [FCA CF] Functions requiring qualifications (30 Mar 2021 to 1 May 2025)
  • [FCA CF] Manager of certification employee (30 Mar 2021 to 1 May 2025)
  • [FCA CF] Significant management (30 Mar 2021 to 1 May 2025)
  • CF30 Customer (1 May 2019 to 8 Dec 2019)
• David Craig Elworthy

  IRN DCE01019

  • [FCA CF] Functions requiring qualifications (23 Feb 2021 to 1 Apr 2022)
  • [FCA CF] Client dealing (23 Feb 2021 to 1 Apr 2022)
  • CF30 Customer (30 May 2019 to 8 Dec 2019)
• David James Freke

  IRN DJF00080

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 29 Apr 2020)
  • [FCA CF] Functions requiring qualifications (since 29 Apr 2020)
• David James O'Leary

  IRN DJO00026

  • CF30 Customer (24 Dec 2013 to 6 Jan 2014)
• David John Robertson

  IRN DJR00062

  • [FCA CF] Functions requiring qualifications (9 Feb 2022 to 25 Apr 2024)
  • [FCA CF] Client dealing (9 Feb 2022 to 25 Apr 2024)

• Calculis Financial Planning Limited (no longer appointed)

  FRN 920209 · Appointed 1 Apr 2020 · Until 5 May 2020

• Fitzrovia Financial Services Limited (no longer appointed)

  FRN 196973 · Appointed 5 Jun 2019 · Until 30 Nov 2022

No changes recorded yet.