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.

• Aimi Eagle

  IRN AXE00275

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 30 Oct 2024)
  • [FCA CF] Functions requiring qualifications (since 30 Oct 2024)
• Alan Bamford

  IRN AXB00743

  • [FCA CF] Manager of certification employee (2 May 2021 to 20 Aug 2021)
• Alan Bradley

  IRN AXB02151

  • CF30 Customer (21 Aug 2013 to 31 Mar 2016)
• Alan Martin

  IRN AXM00716

  • [FCA CF] Significant management (since 29 Mar 2021)
• Alan Wardrop

  IRN AXW00211

  • [FCA CF] Functions requiring qualifications (28 May 2020 to 28 Feb 2022)
  • [FCA CF] Client dealing (28 May 2020 to 28 Feb 2022)
• Alena Kosava

  IRN AXK00280

  • [FCA CF] Significant management (29 Mar 2021 to 5 May 2022)
• Alessandra Lee

  IRN AXL00633

  • [FCA CF] Client dealing (24 Nov 2023 to 23 Jun 2025)
  • [FCA CF] Functions requiring qualifications (24 Nov 2023 to 23 Jun 2025)
• Alex Jackson

  IRN AXJ01540

  • CF30 Customer (11 Feb 2013 to 22 Nov 2013)
• Alexander John Jones

  IRN AJJ01126

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 3 Jul 2023)
  • [FCA CF] Client dealing (since 3 Jul 2023)
• Alexis Pegley

  IRN AJP01252

  • [FCA CF] Functions requiring qualifications (5 May 2020 to 11 Sep 2023)
  • [FCA CF] Client dealing (5 May 2020 to 11 Sep 2023)

• 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.