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.

• Paul Vincent Guthrie

  IRN PXG01260

  • [FCA CF] Functions requiring qualifications (16 Nov 2022 to 29 Nov 2024)
  • [FCA CF] Significant management (31 Mar 2021 to 29 Nov 2024)
• Paul William George Nice

  IRN PWN01022

  • [FCA CF] Functions requiring qualifications (17 Nov 2022 to 5 Jan 2023)
  • [FCA CF] Manager of certification employee (23 Mar 2021 to 5 Jan 2023)
• Pavitar Padam

  IRN PXP00281

  • [FCA CF] Significant management (19 Oct 2022 to 14 Nov 2023)
• Penny Susan Speller

  IRN PXS01802

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 18 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 18 Jan 2021)
  • CF30 Customer (8 Oct 2012 to 8 Dec 2019)
• Peter Andrew Nutini

  IRN PAN00007

  • 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)
• Peter Andrew Simpson

  IRN PAS00056

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 23 Feb 2021)
  • [FCA CF] Client dealing (since 23 Feb 2021)
  • CF30 Customer (4 Sep 2017 to 8 Dec 2019)
• Peter David Amos

  IRN PDA00031

  • [FCA CF] Functions requiring qualifications (28 Apr 2020 to 27 Apr 2021)
  • [FCA CF] Client dealing (28 Apr 2020 to 27 Apr 2021)
• Peter David Bannister

  IRN PXB00122

  • [FCA CF] Client dealing (22 Jan 2021 to 22 Apr 2022)
  • [FCA CF] Functions requiring qualifications (22 Jan 2021 to 22 Apr 2022)
  • CF30 Customer (30 May 2019 to 8 Dec 2019)
• Peter James Montague

  IRN PJM00008

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Client dealing (since 28 Feb 2023)
  • [FCA CF] Functions requiring qualifications (since 28 Feb 2023)
• Peter Jeremy David

  IRN PJD00001

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 7 May 2021)
  • [FCA CF] Functions requiring qualifications (since 7 May 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.