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.

• Robert Michael Keogh

  IRN RMK01034

  • [FCA CF] Functions requiring qualifications (5 Jan 2021 to 20 Apr 2022)
  • [FCA CF] Client dealing (5 Jan 2021 to 20 Apr 2022)
  • CF30 Customer (15 May 2015 to 8 Dec 2019)
• Robert Mulonga

  IRN RXM01073

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 2 Apr 2025)
  • [FCA CF] Client dealing (since 2 Apr 2025)
  • [FCA CF] Client dealing (30 Oct 2024 to 4 Nov 2024)
  • [FCA CF] Functions requiring qualifications (30 Oct 2024 to 4 Nov 2024)
• Robert Williamson Kerr McGarrie

  IRN RWM01095

  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 16 Nov 2020)
  • [FCA CF] Client dealing (since 16 Nov 2020)
• Robert Wilson

  IRN RXW01577

  • CF30 Customer (24 Jun 2014 to 28 Jun 2019)
• Rodney Kendall Heaven

  IRN RKH00009

  • [FCA CF] Manager of certification employee (since 11 Mar 2021)
  • [FCA CF] Functions requiring qualifications (17 Nov 2022 to 10 Oct 2024)
• Roger Mark Easterbrook

  IRN RME01055

  • 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)
• Ronald Metcalfe Christie

  IRN RMC01124

  • CF30 Customer (4 Jan 2018 to 10 Aug 2018)
• Ronan Quinn McBride

  IRN RQM00001

  • CF30 Customer (9 Oct 2015 to 15 Oct 2015)
• Rudolf Mark Smith

  IRN RMS00066

  • [FCA CF] Client dealing (17 Feb 2021 to 31 Dec 2025)
  • [FCA CF] Functions requiring qualifications (17 Feb 2021 to 31 Dec 2025)
  • CF30 Customer (7 Aug 2013 to 8 Dec 2019)
• Ryan Leslie Gray

  IRN RLG01066

  • [FCA CF] Functions requiring qualifications (28 May 2020 to 16 Oct 2025)
  • [FCA CF] Client dealing (28 May 2020 to 16 Oct 2025)

• 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.