ASCOT WEALTH MANAGEMENT LTD

Date authorised
1 April 2013
Companies House
07428369
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Ascot Wealth Management Ltd
    Scotch Corner
    London Road
    Sunningdale
    Ascot
    Windsor And Maidenhead
    SL5 0ER
    UNITED KINGDOM
    Phone
    +4401344851250
    Web
    https://www.ascotwm.com

  • Complaints Contact

    Ascot Wealth Management Ltd
    Scotch Corner
    London Road
    Sunningdale
    Ascot
    Windsor And Maidenhead
    SL5 0ER
    UNITED KINGDOM
    Phone
    +4401344851250

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • P2P Lending Advice

    For Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • Pension Transfer Advice

    For Professional, 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 3 limitations
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
    • · 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.
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Investment Advice (no pensions)

    For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, 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, Warrant

    Show 1 limitation
    • · 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
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, 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, Warrant

    Show 1 limitation
    • · 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

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Stockbroking

    For Professional, Retail (Investment), Certificates representing certain security, 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, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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 Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, 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, Warrant

    Show 1 limitation
    • · 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.

  • Manages Your Portfolio

    For Professional, Retail (Investment), Certificates representing certain security, 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, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Dextter Thomas Roberts

    IRN DXR00290

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 23 Sep 2025)
  • Grahame Michael Lamb

    IRN XGL01001

    • CF1 Director (AR) (28 Jan 2019 to 19 Nov 2020)
  • Gregory Andrew Armstrong

    IRN GXA00144

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 9 Feb 2022)
    • [FCA CF] Functions requiring qualifications (since 9 Feb 2022)
  • Guillermo O'Flaherty

    IRN GXO10536

    • SMF3 Executive Director (since 8 Oct 2025)
    • CF1 Director (AR) (22 Jan 2019 to 30 Jan 2023)
  • Ian Weavind

    IRN IXW00061

    • CF30 Customer (13 Jul 2021 to 29 Oct 2021)
    • [FCA CF] Client dealing (19 Dec 2019 to 29 Oct 2021)
    • Appointed representative dealing with clients for which they require qualification (19 Dec 2019 to 29 Oct 2021)
    • [FCA CF] Functions requiring qualifications (19 Dec 2019 to 29 Oct 2021)
  • Jak Sherbourne Heston Antony

    IRN JXA08562

    • CF30 Customer (24 May 2021 to 17 Aug 2022)
    • [FCA CF] Functions requiring qualifications (1 Aug 2020 to 30 Apr 2022)
    • [FCA CF] Client dealing (1 Aug 2020 to 30 Apr 2022)
  • Jonathan Peter Rider

    IRN JPR01167

    • CF30 Customer (22 Jan 2015 to 12 Oct 2018)
  • Karen Baker

    IRN KES01040

    • CF30 Customer (24 Jan 2013 to 10 Jan 2014)
  • Mark Insley

    IRN MXI01133

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • CF1 Director (AR) (since 25 Apr 2025)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 9 May 2016)
    • CF30 Customer (since 21 Jul 2011)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Jan 2023)
    • CF1 Director (AR) (6 Mar 2019 to 30 Jan 2023)
    • CF1 Director (21 Jul 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (21 Jul 2011 to 30 Sep 2018)
    • CF10 Compliance Oversight (21 Jul 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (21 Jul 2011 to 8 Dec 2019)
  • Mark James Drake

    IRN MXD00551

    • CF4 Partner (AR) (since 17 Oct 2025)
    • CF30 Customer (since 26 Jul 2024)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

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