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.

• Martin James Setchell

  IRN MJS01328

  • [FCA CF] Client dealing (10 Mar 2020 to 10 Nov 2020)
  • [FCA CF] Functions requiring qualifications (10 Mar 2020 to 10 Nov 2020)
• Martin Keith Purnell

  IRN MKP00003

  • [FCA CF] Functions requiring qualifications (18 Jan 2021 to 29 Apr 2022)
  • [FCA CF] Client dealing (18 Jan 2021 to 29 Apr 2022)
  • CF30 Customer (3 Jan 2018 to 8 Dec 2019)
• Martin Lee Clark

  IRN MLC01082

  • [FCA CF] Manager of certification employee (since 13 Feb 2023)
  • [FCA CF] Functions requiring qualifications (13 Feb 2023 to 10 Oct 2024)
• Martyn Alexander Southam

  IRN MAS01273

  • CF30 Customer (20 Sep 2019 to 8 Dec 2019)
• Martyn Neil Holmes

  IRN MNH00001

  • 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)
• Martyn Roy Billings

  IRN MRB00059

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 23 May 2025)
  • [FCA CF] Client dealing (9 Dec 2020 to 23 May 2025)
  • CF30 Customer (30 May 2019 to 8 Dec 2019)
• Mary Theresa O'Connor

  IRN MTO01015

  • SMF11 Chair of the Audit Committee (since 14 Nov 2024)
• Mathew Ian Lamping

  IRN MIL01021

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 23 Feb 2021)
  • [FCA CF] Functions requiring qualifications (since 23 Feb 2021)
  • CF30 Customer (26 Apr 2019 to 8 Dec 2019)
• Matthew Albert Hall

  IRN MXH00073

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 17 Aug 2020)
  • [FCA CF] Functions requiring qualifications (since 17 Aug 2020)
• Matthew Charles Adams

  IRN MCA00014

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • CF30 Customer (30 May 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.