Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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ASCOT LLOYD FINANCIAL PLANNING LIMITED
FRN 144519
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 7 Oct 2025)
- [FCA CF] Functions requiring qualifications (since 7 Oct 2025)
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- [FCA CF] Client dealing (4 Nov 2024 to 10 Sep 2025)
- [FCA CF] Functions requiring qualifications (4 Nov 2024 to 10 Sep 2025)
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- Appointed representative dealing with clients for which they require qualification (7 Jun 2022 to 11 Oct 2023)
- CF30 Customer (14 Feb 2022 to 11 Oct 2023)
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- (4)Employed By (14 Feb 2022 to 11 Oct 2023)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.