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

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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 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

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  • · 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.

• Ian James Brown

  IRN IXB01198

  • CF30 Customer (9 Jul 2015 to 20 Dec 2016)
• Ian James Josh

  IRN IXJ00018

  • [FCA CF] Client dealing (9 Dec 2020 to 6 May 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 6 May 2025)
  • CF30 Customer (30 May 2019 to 8 Dec 2019)
• Ian James Mundy

  IRN IJM01096

  • [FCA CF] Functions requiring qualifications (12 Jul 2024 to 31 Aug 2025)
  • [FCA CF] Significant management (12 Jul 2024 to 31 Aug 2025)
• Ian Michael Drew

  IRN IMD00009

  • [FCA CF] Client dealing (21 Dec 2020 to 3 May 2022)
  • [FCA CF] Functions requiring qualifications (21 Dec 2020 to 3 May 2022)
  • CF30 Customer (1 Oct 2019 to 8 Dec 2019)
• Ian Paul Phillips

  IRN IPP00002

  • [FCA CF] Client dealing (23 Feb 2021 to 15 Dec 2023)
  • [FCA CF] Functions requiring qualifications (23 Feb 2021 to 15 Dec 2023)
  • CF30 Customer (5 Apr 2018 to 8 Dec 2019)
• Ian Ross Bawtree

  IRN IRB00003

  • CF30 Customer (31 May 2013 to 11 Mar 2016)
• Ian Scott Painter

  IRN ISP00004

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 2 Sep 2022)
  • [FCA CF] Functions requiring qualifications (since 2 Sep 2022)
• Ian Stuart Hawkins

  IRN ISH00004

  • CF30 Customer (31 Dec 2018 to 8 Dec 2019)
• Ian Walsh

  IRN IXW00016

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2024)
  • [FCA CF] Client dealing (since 1 Nov 2024)
• Ioannis Constantinou

  IRN IAC00005

  • [FCA CF] Client dealing (11 Sep 2020 to 8 Dec 2021)
  • [FCA CF] Functions requiring qualifications (11 Sep 2020 to 8 Dec 2021)

• 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.