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.

• Jennifer Ann Robertson

  IRN JAR01258

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

  IRN JPM01349

  • CF30 Customer (21 Jul 2016 to 28 Dec 2017)
• Jeremy Baugh

  IRN JXB00038

  • [FCA CF] Client dealing (21 Dec 2020 to 30 Aug 2024)
  • [FCA CF] Functions requiring qualifications (21 Dec 2020 to 30 Aug 2024)
  • CF30 Customer (30 May 2019 to 8 Dec 2019)
• Jeremy John Lawrence

  IRN JJL00005

  • CF30 Customer (6 Mar 2018 to 23 Mar 2018)
• Jessica Anne Brescia

  IRN JAB01552

  • SMF10 Chair of the Risk Committee (23 Mar 2022 to 12 Sep 2025)
  • SMF4 Chief Risk (23 Mar 2022 to 12 Sep 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (3 Jul 2020 to 7 Aug 2025)
  • SMF16 Compliance Oversight (3 Jul 2020 to 7 Aug 2025)
• Jillian Mary Roberts

  IRN JMD01151

  • [FCA CF] Client dealing (24 Nov 2023 to 8 Aug 2025)
  • [FCA CF] Functions requiring qualifications (24 Nov 2023 to 8 Aug 2025)
• Joanna Mary Meager

  IRN JMM01281

  • SMF24 Chief Operations (10 Jul 2025 to 30 Sep 2025)
• Joanne Louise Bentley

  IRN JLB01130

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 5 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 5 Jan 2021)
  • [FCA CF] Significant management (since 5 Jan 2021)
  • CF30 Customer (5 Dec 2014 to 8 Dec 2019)
• John Aubrey

  IRN JXA01319

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 18 Jan 2021)
  • [FCA CF] Client dealing (since 18 Jan 2021)
  • CF30 Customer (6 Aug 2015 to 8 Dec 2019)
• John Barry Talbot

  IRN JBT00004

  • [FCA CF] Manager of certification employee (since 31 Mar 2021)
  • [FCA CF] Functions requiring qualifications (17 Nov 2022 to 10 Oct 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.