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.

  • Robert Setter

    IRN RXS01794

    • CF7 Sole Trader (AR) (2 Feb 2006 to 31 Jan 2007)
  • Rosemary June Cane

    IRN RXC00471

    • CF1 Director (AR) (since 16 Feb 2022)
  • Ross John Kelly

    IRN RJK00005

    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
    • CF4 Partner (AR) (1 Dec 2001 to 31 Dec 2003)
  • Rowland Walter Birkwood

    IRN RWB00028

    • CF21 Investment Adviser (1 Dec 2001 to 17 Dec 2001)
  • Russell David Cotter

    IRN RDC00004

    • CF22 Investment Adviser (Trainee) (1 May 2002 to 31 Dec 2003)
  • Russell Green

    IRN RXG82429

    • CF1 Director (AR) (6 Apr 2023 to 31 Jan 2025)
    • Appointed representative dealing with clients for which they require qualification (1 Oct 2021 to 31 Jan 2025)
  • STUART Arnold

    IRN SXA00014

    • CF21 Investment Adviser (16 Jun 2003 to 31 Dec 2003)
  • Sara Lynn Tucker

    IRN SXT00452

    • CF1 Director (AR) (since 7 Sep 2022)
  • Sarah Jane Brown

    IRN SJB01465

    • 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 4 Sep 2023)
    • CF1 Director (AR) (since 16 Feb 2022)
  • Stephen Samuel Sloman

    IRN SSS00002

    • 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 9 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
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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.