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.

• Neil James Howchin

  IRN NJH01188

  • CF30 Customer (9 Oct 2013 to 29 Apr 2016)
• Neil John Martin

  IRN NJM00039

  • [FCA CF] Functions requiring qualifications (6 Apr 2021 to 19 Dec 2023)
  • [FCA CF] Client dealing (6 Apr 2021 to 19 Dec 2023)
  • CF30 Customer (3 Jan 2018 to 8 Dec 2019)
• Neil Keith Winstanley

  IRN NKW00017

  • CF30 Customer (1 Feb 2016 to 8 Dec 2019)
• Neil Stewart Mackay

  IRN NSM01044

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 5 Jan 2023)
  • [FCA CF] Client dealing (since 5 Jan 2023)
• Niall Robert Sharry

  IRN NRS00025

  • [FCA CF] Functions requiring qualifications (1 Oct 2021 to 23 Nov 2022)
  • [FCA CF] Client dealing (1 Oct 2021 to 23 Nov 2022)
• Nicholas David Oram

  IRN NDO00002

  • CF30 Customer (24 Feb 2015 to 26 Feb 2016)
• Nicholas James Ronan

  IRN NJR00007

  • CF30 Customer (31 Dec 2018 to 8 Dec 2019)
• Nicholas Paul Bird

  IRN NPB00001

  • [FCA CF] Client dealing (4 Dec 2020 to 31 Dec 2021)
  • [FCA CF] Functions requiring qualifications (4 Dec 2020 to 31 Dec 2021)
  • CF30 Customer (8 Sep 2015 to 8 Dec 2019)
• Nicholas Paul Knapp

  IRN NPK00002

  • [FCA CF] Functions requiring qualifications (20 May 2021 to 31 Dec 2021)
  • [FCA CF] Client dealing (20 May 2021 to 31 Dec 2021)
  • [FCA CF] Manager of certification employee (20 May 2021 to 31 Dec 2021)
  • [FCA CF] Significant management (20 May 2021 to 31 Dec 2021)
• Nicholas Simon Watton

  IRN NSW00011

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 22 Jan 2021)
  • [FCA CF] Client dealing (since 22 Jan 2021)
  • 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.