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

  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.

• 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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.

• Baldev Raj Gaddu

  IRN BRG00005

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 6 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 6 Nov 2023)
• Barbara Botha

  IRN BXB00145

  • [FCA CF] Significant management (since 23 Mar 2021)
• Barnaby Wallis

  IRN BXW00314

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

  IRN BGC01020

  • CF30 Customer (16 Apr 2014 to 27 Jan 2018)
• Barry James Kane

  IRN BXK08640

  • SMF16 Compliance Oversight (since 5 Aug 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Aug 2025)
  • [FCA CF] Significant management (since 28 Apr 2025)
• Ben Waterhouse

  IRN BPW01040

  • Responsibility for MCD Intermediation (since 1 Jan 2026)
  • SMF3 Executive Director (since 1 Jan 2026)
  • Responsible for Insurance Distribution (since 1 Jan 2026)
• Benjamin Snowdon

  IRN BJS01138

  • CF30 Customer (18 Jul 2014 to 7 Apr 2017)
• Beverley Michael Covell

  IRN BMC01036

  • SMF12 Chair of the Remuneration Committee (since 20 Feb 2022)
  • SMF13 Chair of the Nominations Committee (20 Feb 2022 to 3 Dec 2024)
  • SMF9 Chair of the Governing Body (9 Dec 2019 to 11 Aug 2021)
  • CF2 Non Executive Director (26 Nov 2018 to 8 Dec 2019)
• Bobbie Bradley

  IRN BXB00001

  • [FCA CF] Functions requiring qualifications (18 Jan 2021 to 14 Jul 2025)
  • [FCA CF] Client dealing (18 Jan 2021 to 14 Jul 2025)
  • CF30 Customer (19 Aug 2015 to 8 Dec 2019)
• Bruce William Turner

  IRN BWT00002

  • [FCA CF] Client dealing (14 Nov 2022 to 31 Mar 2025)
  • [FCA CF] Functions requiring qualifications (14 Nov 2022 to 31 Mar 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.