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.

• Stephen Paul Stobie

  IRN SPS01120

  • [FCA CF] Client dealing (2 Apr 2024 to 11 Mar 2025)
  • [FCA CF] Functions requiring qualifications (2 Apr 2024 to 11 Mar 2025)
• Stephen Roy Jones

  IRN SRJ01030

  • SMF18 Other Overall Responsibility (13 Jan 2024 to 30 May 2025)
  • [FCA CF] Significant management (26 May 2022 to 2 Jun 2025)
  • [FCA CF] Manager of certification employee (26 May 2022 to 2 Jun 2025)
• Stephen William Clements

  IRN SWC00009

  • CF30 Customer (5 Jan 2018 to 8 Dec 2019)
• Steve Grace

  IRN SXG02060

  • [FCA CF] Functions requiring qualifications (31 Mar 2021 to 8 Aug 2025)
  • [FCA CF] Significant management (31 Mar 2021 to 8 Aug 2025)
  • [FCA CF] Manager of certification employee (31 Mar 2021 to 8 Aug 2025)
  • [FCA CF] Client dealing (31 Mar 2021 to 8 Aug 2025)
  • CF30 Customer (7 Apr 2015 to 8 Dec 2019)
• Steve Matthews

  IRN SXM00068

  • CF30 Customer (9 Jan 2018 to 28 Sep 2018)
• Steven Anthony Montague

  IRN SAM01310

  • CF30 Customer (22 Jul 2015 to 30 Nov 2015)
• Steven McGregor Haldane

  IRN SMH00020

  • CF30 Customer (29 Oct 2014 to 31 Jul 2017)
• Steven Nigel Cotterill

  IRN SNC00008

  • [FCA CF] Client dealing (22 Jan 2021 to 31 May 2024)
  • [FCA CF] Functions requiring qualifications (22 Jan 2021 to 31 May 2024)
  • CF30 Customer (30 May 2019 to 8 Dec 2019)
• Steven Paul Lloyd

  IRN SPL01099

  • SMF18 Other Overall Responsibility (18 Mar 2022 to 12 Feb 2025)
  • CF30 Customer (23 Apr 2018 to 8 Dec 2019)
• Stewart Michael Sims-Handcock

  IRN SMS01216

  • CF30 Customer (12 Apr 2018 to 4 Sep 2018)

• 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.