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.

• Jonathan Brendan Kavanagh

  IRN JBK01016

  • [FCA CF] Functions requiring qualifications (4 Dec 2020 to 23 May 2025)
  • [FCA CF] Client dealing (4 Dec 2020 to 23 May 2025)
  • CF30 Customer (18 Dec 2017 to 8 Dec 2019)
• Jonathan Buchanan

  IRN JXB16932

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 16 Nov 2020)
  • [FCA CF] Client dealing (since 16 Nov 2020)
• Jonathan James Whiticar

  IRN JJW01089

  • CF2 Non Executive Director (1 Oct 2012 to 3 Dec 2018)
• Jonathan Kevin Foley

  IRN JKF01036

  • [FCA CF] Significant management (since 11 Oct 2024)
  • [FCA CF] Manager of certification employee (since 3 Jul 2023)
  • [FCA CF] Functions requiring qualifications (3 Jul 2023 to 11 Oct 2024)
• Jonathan Paul Walker

  IRN JXW00034

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 3 Apr 2024)
  • [FCA CF] Client dealing (since 3 Apr 2024)
• Jonathan Sadler

  IRN JSS01109

  • CF30 Customer (11 Dec 2017 to 8 Dec 2019)
• Jonathon Lee Clarke

  IRN JLC01124

  • CF30 Customer (5 Aug 2014 to 6 Mar 2018)
• Jordan Cairney

  IRN JXC03187

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 24 Nov 2022)
  • [FCA CF] Client dealing (since 24 Nov 2022)
• Joseph Edward Roxborough

  IRN JER01143

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 26 Feb 2021)
  • [FCA CF] Client dealing (since 26 Feb 2021)
  • CF30 Customer (31 Aug 2017 to 8 Dec 2019)
• Joseph Frederick Rose

  IRN JFR01041

  • [FCA CF] Client dealing (21 Dec 2020 to 22 Jul 2022)
  • [FCA CF] Functions requiring qualifications (21 Dec 2020 to 22 Jul 2022)
  • CF30 Customer (1 Oct 2019 to 8 Dec 2019)

• 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.