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.

• Nicholas Steven Barratt

  IRN NSB00025

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 1 Jul 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2025)
• Nicola Ann Howick

  IRN NAH00025

  • [FCA CF] Manager of certification employee (10 Oct 2024 to 11 Oct 2024)
• Nicola Sharon Smith

  IRN NXS17404

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 31 Mar 2023)
  • [FCA CF] Functions requiring qualifications (since 31 Mar 2023)
• Nigel Bruce Murdock

  IRN NBM00003

  • CF30 Customer (24 Feb 2015 to 10 Apr 2015)
• Nigel Gavin Forde

  IRN NGF00002

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 11 Jan 2022)
  • [FCA CF] Client dealing (since 11 Jan 2022)
• Nigel Geoffrey Stockton

  IRN NGS01040

  • SMF9 Chair of the Governing Body (1 Apr 2022 to 31 Aug 2024)
  • SMF1 Chief Executive (1 Apr 2022 to 31 Aug 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 3 Jul 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Jul 2020)
  • SMF3 Executive Director (9 Dec 2019 to 31 Aug 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 31 Aug 2024)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 31 Aug 2024)
  • CF11 Money Laundering Reporting (11 Aug 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (11 Aug 2015 to 8 Dec 2019)
  • Responsible for Insurance Mediation (11 Aug 2015 to 30 Sep 2018)
  • CF1 Director (1 Oct 2012 to 8 Dec 2019)
• Nigel Mark Beech

  IRN NMB00005

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 3 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 3 Jul 2023)
• Nigel Roscoe

  IRN NXR00199

  • [FCA CF] Manager of certification employee (11 Jun 2022 to 16 Oct 2023)
  • [FCA CF] Functions requiring qualifications (11 Jun 2022 to 16 Oct 2023)
• Nigel Vincent Stratton

  IRN NVS00001

  • [FCA CF] Functions requiring qualifications (3 Mar 2021 to 28 May 2021)
  • [FCA CF] Client dealing (3 Mar 2021 to 28 May 2021)
  • CF30 Customer (12 Feb 2018 to 8 Dec 2019)
• Oliver Suter

  IRN OXS00074

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 2 Apr 2024)
  • [FCA CF] Client dealing (since 2 Apr 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.