Owen and Associates

Date authorised
1 April 2013
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Owen & Associates
    33 Gay Street
    Bath
    Bath And North East Somerset
    BA1 2NT
    UNITED KINGDOM
    Phone
    +4401225429479

  • Complaints Contact

    Owen & Associates
    33 Gay Street
    Bath
    Bath And North East Somerset
    BA1 2NT
    UNITED KINGDOM
    Phone
    +4401225429479

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 Commercial, 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 2 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.
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

  • Investment Advice (no pensions)

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

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt counselling which is provided in connection with investment advice and/or mortgage advice.

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

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

Approved individuals

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

  • Alan Peter Seward

    IRN APS00020

    • CF30 Customer (1 Nov 2007 to 25 Mar 2011)
    • CF21 Investment Adviser (28 Jun 2002 to 31 Oct 2007)
  • Andrew Richard Gallop

    IRN ARG01084

    • CF1 Director (AR) (12 Dec 2002 to 30 Sep 2004)
  • Anthony Ian Lynch

    IRN AIL00003

    • CF21 Investment Adviser (1 Dec 2001 to 28 Mar 2002)
  • Christopher Phillip Seward

    IRN CPS01056

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Apr 2025)
    • CF1 Director (AR) (1 Feb 2017 to 11 Sep 2024)
    • CF10 Compliance Oversight (15 Mar 2004 to 23 Feb 2017)
  • Emma Louise Mears

    IRN ELM01016

    • CF4 Partner (AR) (1 Dec 2001 to 20 Jan 2020)
  • Garry Michael Hodges

    IRN GMH00048

    • CF21 Investment Adviser (1 Dec 2001 to 15 Aug 2003)
  • Gary Anthony Jones

    IRN GAJ01029

    • CF1 Director (AR) (12 Dec 2002 to 30 Sep 2004)
  • Geoffrey Owen

    IRN GXO00002

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Jan 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
    • CF7 Sole Trader (1 Dec 2001 to 31 Jan 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • Guy Harrison Williams

    IRN GHW01032

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Mar 2023)
    • CF1 Director (AR) (27 Sep 2017 to 31 Mar 2023)
  • Jacqueline Louise Harris

    IRN JLH01164

    • CF1 Director (AR) (14 Feb 2011 to 28 Jul 2011)
Show more

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Show more

Recent activity

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

No changes recorded yet.