Owen and Associates

Date authorised
1 April 2013
Last scraped
3 weeks ago
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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.

  • Nicholas Brown

    IRN NXB00321

    • CF1 Director (AR) (since 16 Feb 2022)
  • Paul David Kelly

    IRN PDK00003

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Appointed representative dealing with clients for which they require qualification (since 3 Dec 2024)
    • [FCA CF] Functions requiring qualifications (1 Oct 2021 to 3 Dec 2024)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Sep 2021)
  • Paul Rex Harris

    IRN PRH00062

    • CF1 Director (AR) (1 Dec 2001 to 1 May 2018)
  • Paul Richard Adams

    IRN PRA01038

    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
  • Peter David Moon

    IRN PDM00020

    • CF4 Partner (AR) (1 Dec 2001 to 1 Apr 2019)
  • Phillip Richard John Clark

    IRN PRC01140

    • CF1 Director (AR) (since 28 Jul 2010)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Nov 2024)
    • CF1 Director (AR) (2 Apr 2007 to 17 Dec 2009)
  • Richard Evans

    IRN RXE00017

    • CF21 Investment Adviser (22 Jan 2004 to 8 Nov 2004)
  • Richard John Steven Watkin

    IRN RJW00039

    • CF1 Director (AR) (4 Mar 2008 to 1 Apr 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
  • Richard Martin Jarrett

    IRN RMJ00006

    • CF22 Investment Adviser (Trainee) (10 Apr 2002 to 31 Dec 2003)
  • Robert John Porter

    IRN RJP00028

    • CF30 Customer (1 Nov 2007 to 28 Dec 2012)
    • CF24 Pension Transfer Specialist (31 Jul 2002 to 31 Oct 2007)
    • CF21 Investment Adviser (31 Jul 2002 to 31 Oct 2007)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

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

No changes recorded yet.