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.

• Katherine Askew

  IRN KXA00132

  • [FCA CF] Significant management (24 Mar 2021 to 22 Jan 2026)
• Kathryn Anne Bastow

  IRN KAA00003

  • [FCA CF] Functions requiring qualifications (4 Aug 2020 to 19 Jul 2022)
  • [FCA CF] Client dealing (4 Aug 2020 to 19 Jul 2022)
  • CF30 Customer (29 Apr 2019 to 8 Dec 2019)
• Kathryn Jane Rendle-Barnes

  IRN KJR01041

  • [FCA CF] Client dealing (31 Mar 2023 to 1 Sep 2023)
  • [FCA CF] Functions requiring qualifications (31 Mar 2023 to 1 Sep 2023)
• Katrina Williamson

  IRN KDW01025

  • [FCA CF] Client dealing (18 Jul 2022 to 31 Dec 2024)
  • [FCA CF] Functions requiring qualifications (18 Jul 2022 to 31 Dec 2024)
• Kenneth James McIntosh

  IRN KJM01114

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 5 May 2022)
  • [FCA CF] Client dealing (since 5 May 2022)
• Kerry Lesley McGreevy

  IRN KLM01063

  • CF30 Customer (15 Oct 2014 to 7 Aug 2015)
• Kevin Hugh Ronaldson

  IRN KHR01004

  • CF1 Director (1 Oct 2012 to 1 Sep 2015)
  • CF3 Chief Executive (1 Oct 2012 to 1 Sep 2015)
  • CF11 Money Laundering Reporting (1 Oct 2012 to 1 Sep 2015)
  • CF10 Compliance Oversight (1 Oct 2012 to 1 Sep 2015)
  • Responsible for Insurance Mediation (1 Oct 2012 to 1 Sep 2015)
• Kevin John Clare

  IRN KJC00031

  • [FCA CF] Client dealing (7 Dec 2020 to 27 Feb 2026)
  • [FCA CF] Functions requiring qualifications (7 Dec 2020 to 27 Feb 2026)
  • CF30 Customer (13 Dec 2017 to 8 Dec 2019)
• Kevin Patrice Branche

  IRN KXB88064

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 1 Sep 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Sep 2023)
• Kevin Salter

  IRN KXS01577

  • [FCA CF] Functions requiring qualifications (16 Sep 2020 to 18 Jan 2021)
  • [FCA CF] Client dealing (16 Sep 2020 to 18 Jan 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.