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Need help with a claim involving Ascot Lloyd

If you’re worried about losses from a transaction involving Ascot Lloyd and are considering compensation, our experts can help. We’ll review your case thoroughly to determine what happened, who’s responsible, and how much you could potentially recover.

Ascot Lloyd is a leading independent financial advice and wealth management firm based in the UK. Founded in 2004, the company has seen rapid growth through both organic expansion and the acquisition of smaller Independent Financial Adviser (IFA) firms. The firm provides a comprehensive suite of services including financial planning, wealth management, retirement and pension advice, protection planning, and corporate benefit solutions.

Ascot Lloyd recently set aside £76 million in order to cover potential redress for clients of their wealth management division who have been paying annual management fees but may not have received annual reviews from the Financial Adviser.

There are currently two active firms on the FCA register relating to Ascot Lloyd, Ascot Lloyd Ltd and Ascot Lloyd Investment Management Ltd. (ALIM)

For the purposes of helping clients seeking financial redress from Ascot Lloyd this page will be dedicated to ALIM as this is the firm which holds regulated permissions for Promoting, Arranging & Managing Pensions and Investments.

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If you don’t get paid, then you pay nothing. If you get paid, we take a pre-agreed percentage based on how much money you receive for your peace of mind.

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Trading Styles

Name

Sort by: Name descending

 Type of name (Registered, Trading)

Sort by: Type of name (Registered, Trading) descending

 Effective from

Sort by: Effective from descending
Ascot Lloyd Investment Management Limited Registered 01 Jul 2025
Ascot Lloyd Trading 31 Mar 2025

 

Why can you claim for compensation or redress against Ascot Lloyd

If you have been a financial advice client of Ascot Lloyd Investment Management Limited you may be eligible for financial redress if you were advised to transfer from existing pension or investments schemes to a new platform, or if you have not received annual reviews from your financial adviser.

 

Background

Companies House show the Company was incorporated on 31/08/2012 under company reference number 08197347.

According to the FCA Register the company has been authorised since 01/06/16 and has applied to cancel since 09/02/2015

This company is associated with claims for lack of ongoing servicing (Financial Adviser Fees).

 

Who was involved?

The following is a list of individuals who are currently or were previously involved in regulated activities at Ascot Lloyd.

Current 
Mona Christensen MXC00602 Approved by regulator

SMF3 Executive Director
Graham Bentley GXB77729 Approved by regulator

SMF3 Executive Director
Paul Jason Roger Nathan PJN01039 Approved by regulator

SMF9 Chair of the Governing Body
Francis Joseph Jackson FJJ01006 Approved by regulator

SMF1 Chief Executive

 

SMF3 Executive Director
Felice Kirsten Rea FKR01004 Approved by regulator

Certified / assessed by firm

[FCA CF] Manager of certification employee

 

[FCA CF] Material risk taker

 

SMF3 Executive Director
Amanda Jane Tovey AJT01232 Approved by regulator

Certified / assessed by firm

[FCA CF] Significant management

 

[FCA CF] Functions requiring qualifications

 

[FCA CF] Manager of certification employee

 

[FCA CF] Material risk taker

 

[FCA CF] Client dealing

 

14. Managing investments
Barry James Kane BXK08640 Approved by regulator

Certified / assessed by firm

SMF16 Compliance Oversight

 

SMF17 Money Laundering Reporting Officer (MLRO)
David Morcher DXM02986 Approved by regulator

Certified / assessed by firm

[FCA CF] Significant management

 

[FCA CF] Functions requiring qualifications

 

[FCA CF] Material risk taker

 

SMF3 Executive Director

 

14. Managing investments
Katrina Cockram KXC00438 Certified / assessed by firm

[FCA CF] Significant management
Ann Marie Olden AXO00370 Certified / assessed by firm

[FCA CF] Significant management
Barbara Botha BXB00145 Certified / assessed by firm

[FCA CF] Significant management
Erika Coomer EXC00144 Certified / assessed by firm

[FCA CF] Significant management
William Edward Hasted WXH11154 Certified / assessed by firm

[FCA CF] Significant management

 

[FCA CF] Material risk taker
Jay Dorrington JXD00344 Certified / assessed by firm

[FCA CF] Significant management
Christopher Smith CXS10304 Certified / assessed by firm

[FCA CF] Significant management

 

[FCA CF] Functions requiring qualifications

 

[FCA CF] Manager of certification employee

 

[FCA CF] Material risk taker

 

[FCA CF] Client dealing

 

14. Managing investments
James Hafetz Peer JHP01093 Certified / assessed by firm

[FCA CF] Functions requiring qualifications

 

[FCA CF] Client dealing

 

14. Managing investments
Shoaib Akhtar SXA00374 Certified / assessed by firm

[FCA CF] Functions requiring qualifications

 

14. Managing investments


Previous

 
Graham Bentley GXB77729

SMF9 Chair of the Governing Body
Christian John Burgess CJB01498

SMF3 Executive Director
Nigel Geoffrey Stockton NGS01040

CF1 Director

 

CF10 Compliance Oversight

 

CF11 Money Laundering Reporting

 

SMF1 Chief Executive

 

SMF3 Executive Director

 

SMF16 Compliance Oversight

 

SMF17 Money Laundering Reporting Officer (MLRO)
Jessica Anne Brescia JAB01552

SMF3 Executive Director

 

SMF16 Compliance Oversight

 

SMF17 Money Laundering Reporting Officer (MLRO)
Claire Rebecca Armstrong CRM01095

[FCA CF] Significant management
Dominic John Wynyard Rose DJR01310

CF1 Director
Sarah Jane Houghton SJH01449

[FCA CF] Significant management
Sally-Anne Davies SXD00348

[FCA CF] Significant management
Mariana Kostadinova MXK00535

[FCA CF] Functions requiring qualifications

 

[FCA CF] Client dealing
Michael John Dodd MXD00334

[FCA CF] Significant management
Emma Mitchinson EXM00402

[FCA CF] Significant management
Kevin Hugh Ronaldson KHR01004

CF1 Director

 

CF3 Chief Executive

 

CF10 Compliance Oversight

 

CF11 Money Laundering Reporting
Rajinder Singh Hallen RSH01044

CF30 Customer
Mario Adario MXA01650

CF2 Non Executive Director
William Edward Hasted WXH11154

CF30 Customer
Stephen Lennon SXL01824

[FCA CF] Significant management

 

[FCA CF] Functions requiring qualifications

 

[FCA CF] Manager of certification employee

 

[FCA CF] Material risk taker

 

[FCA CF] Client dealing

 

CF30 Customer
Steven Paul Lloyd SPL01099

[FCA CF] Significant management

 

[FCA CF] Functions requiring qualifications

 

CF1 Director

 

[FCA CF] Manager of certification employee

 

[FCA CF] Material risk taker

 

[FCA CF] Client dealing

 

CF30 Customer

 

SMF3 Executive Director
Jeffrey Nesanelis JXN01337

[FCA CF] Significant management
Angela Berry AXB00663

[FCA CF] Significant management
Alena Kosava AXK00280

[FCA CF] Significant management
Mehrdad Yousefian MXY00006

CF30 Customer
Jonathan James Whiticar JJW01089

CF2 Non Executive Director
Matthew Charles Moore MCM01123

CF1 Director
Dawn Pearce-Herzberg DXP01881

CF1 Director

How does it work?

The first step is a free no-obligation consultation, you can learn more about services on our making a claim page.

Once we have assessed your claim, if we believe you are due compensation then we will help you build the best possible complaint by launching a full investigation, gathering evidenced from all the relevant parties to package your claim and submit to the Financial Services Compensation Scheme. We will argue your case to ensure you receive the maximum amount of compensation available to you.

 

Seek Claim Advice Today

We offer an expert pension consulting service. One of our experts will be able to talk through your options and tell you what the best option for you is. If you do decide to use our services, then know that our fees are very reasonable. However, you need to act fast as there may be time-barring restrictions in place.

Call us now for a phone or video consultation with one of our legal experts on 0800 041 8358 to find out if you are entitled to compensation, you may even be entitled to additional compensation if you have successfully claimed in the past.

 

When it comes to Claims,
we won’t waste your time or ours.

This is why we have a 82%* success rate on submitted claims in similar circumstances to Ascot Lloyd

Check Your Eligibility>>

*82% success rate is an accurate figure based on pension and investment related claims submitted and concluded between 1st December 2020 to 1st August 2024.

Our Process for Making a Mis-sold Claim

Initial Consultation

Start a free consultation to understand your situation and help you decide on the best course of action.

Collect & Review Agreements

We”ll collect and review your documentation of the advice given, pension transfer details, and evidence of any financial losses.

Submit a Claim

We will formally submit your claim to the relevant parties, clearly outlining why you’re entitled to compensation.

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Related News

More about Ascot Lloyd’s recent redress announcement.

Prompted by the Financial Conduct Authority’s (FCA) scrutiny of ongoing advice provision in 2024,... Read more

Ascot Lloyd News – Another IFA sets aside millions for potential Client Redress Amid Ongoing Advice Review

Following the example of high profile financial adviser redress schemes by St James’s... Read more

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Claim My Loss is a trading style of HT Legal Ltd. HT Legal Ltd is registered in England and Wales.

Registered number; 06911903, Registered office; Clarendon Chambers, 5a Market Place, Hyde, Cheshire SK14 2LX.

Authorised and regulated by the Solicitors Regulation Authority; SRA ID 535317.

ICO registration number; Z2387380.

You do not need to use Solicitors or a Claims Management Company to make a complaint to your lender or other Compensation Scheme, such as the Financial Services Compensation Scheme (FSCS). You can refer your complaint to the financial ombudsman or FSCS yourself free of charge.

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