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.

• Shaun William Guest

  IRN SWG00013

  • CF30 Customer (31 Dec 2018 to 8 Dec 2019)
• Sheetal Kumar Radia

  IRN SKR01021

  • [FCA CF] Client dealing (9 Dec 2019 to 28 May 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 May 2022)
  • CF30 Customer (21 Feb 2018 to 8 Dec 2019)
• Sherrill Youlanda Atkins

  IRN SYG01003

  • [FCA CF] Functions requiring qualifications (29 Mar 2021 to 16 Dec 2022)
  • [FCA CF] Significant management (29 Mar 2021 to 16 Dec 2022)
  • [FCA CF] Manager of certification employee (29 Mar 2021 to 16 Dec 2022)
  • [FCA CF] Client dealing (29 Mar 2021 to 16 Dec 2022)
  • CF30 Customer (6 Aug 2018 to 8 Dec 2019)
• Simon David Botfield

  IRN SDB00041

  • CF30 Customer (10 Jan 2013 to 31 Dec 2014)
• Simon David Eatwell

  IRN SDE01013

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 29 Apr 2020)
  • [FCA CF] Functions requiring qualifications (since 29 Apr 2020)
• Simon Firmin

  IRN SXF00004

  • [FCA CF] Functions requiring qualifications (18 Jan 2021 to 23 Dec 2022)
  • [FCA CF] Client dealing (18 Jan 2021 to 23 Dec 2022)
  • CF30 Customer (19 Oct 2012 to 8 Dec 2019)
• Simon James Annear

  IRN SJA01109

  • 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 (29 Sep 2015 to 8 Dec 2019)
• Simon John Dunkerley

  IRN SJD00016

  • CF30 Customer (29 Dec 2014 to 22 Jan 2015)
• Simon Legg

  IRN SXL00239

  • [FCA CF] Functions requiring qualifications (10 Mar 2020 to 3 Jun 2020)
  • [FCA CF] Client dealing (10 Mar 2020 to 3 Jun 2020)
• Simon Lycett

  IRN SXL01606

  • CF30 Customer (31 Dec 2018 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.