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.

• Toby White

  IRN TXW00428

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 2 Oct 2025)
  • [FCA CF] Client dealing (since 2 Oct 2025)
• Tonia Claire Hurst

  IRN TCT00006

  • [FCA CF] Client dealing (21 Dec 2020 to 27 Jun 2024)
  • [FCA CF] Functions requiring qualifications (21 Dec 2020 to 27 Jun 2024)
  • CF30 Customer (30 May 2019 to 8 Dec 2019)
• Tony Later

  IRN TXL00297

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 1 Nov 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2024)
• Travis Watson

  IRN TXW00367

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 30 Oct 2024)
  • [FCA CF] Functions requiring qualifications (since 30 Oct 2024)
• Wai Au

  IRN WXA01016

  • SMF11 Chair of the Audit Committee (17 Jan 2022 to 30 Sep 2024)
  • CF2 Non Executive Director (26 Nov 2018 to 8 Dec 2019)
• William Diggins

  IRN WXD01173

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 7 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 7 Dec 2020)
  • CF30 Customer (1 Sep 2018 to 8 Dec 2019)
• William Edward Hasted

  IRN WXH11154

  • [FCA CF] Significant management (30 Mar 2021 to 1 Oct 2025)
• William Paul Hendricks

  IRN WPH01026

  • CF30 Customer (11 Aug 2014 to 5 Mar 2015)
• William Riach Ellis

  IRN WRE00001

  • [FCA CF] Client dealing (1 Oct 2021 to 30 Jun 2022)
  • [FCA CF] Functions requiring qualifications (1 Oct 2021 to 30 Jun 2022)
• Zoe Ramwell

  IRN ZXR00050

  • [FCA CF] Manager of certification employee (since 1 Dec 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.