Owen and Associates

• 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

• 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 Hide 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

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  • · 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

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  • · 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 Hide 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · 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 Hide 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.

• James Michael Evans

  IRN JME01059

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • CF30 Customer (since 1 Nov 2007)
  • CF1 Director (AR) (since 1 Apr 2007)
  • CF21 Investment Adviser (7 Dec 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (16 Mar 2006 to 11 Dec 2006)
• John Ernest Joseph Lacy

  IRN JEL00012

  • CF21 Investment Adviser (24 Mar 2003 to 19 Dec 2003)
  • CF22 Investment Adviser (Trainee) (25 Jun 2002 to 24 Mar 2003)
• Jonathan Robert Tucker

  IRN JRT00009

  • 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)
  • CF1 Director (AR) (since 12 Mar 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
  • CF7 Sole Trader (AR) (1 Dec 2001 to 31 Dec 2003)
• Julian Robert Hellyer

  IRN JRH01161

  • CF1 Director (AR) (12 Dec 2002 to 30 Sep 2004)
• Keith Anthony Patrick

  IRN KAP00020

  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
• Leonard William Francis

  IRN LWF00001

  • CF30 Customer (1 Nov 2007 to 28 Dec 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF7 Sole Trader (AR) (1 Dec 2001 to 31 Jan 2007)
• Leslie Alfred Cox

  IRN LAC00005

  • CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2003)
• Linda Ellen Grace Kelly

  IRN LEK01007

  • CF1 Director (AR) (1 Dec 2001 to 23 Apr 2012)
• Marc Randall

  IRN MXR00146

  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
  • CF4 Partner (AR) (1 Dec 2001 to 31 Dec 2003)
• Marcus Joseph Alexander Harris

  IRN MJH00089

  • CF1 Director (AR) (14 Feb 2011 to 28 Jul 2011)
  • CF30 Customer (14 Feb 2011 to 28 Jul 2011)

• Francis Jacobs (no longer appointed)

  FRN 191409 · Appointed 22 Mar 1999 · Until 11 Sep 2024

• Ocean Financial Services Limited (no longer appointed)

  FRN 154438 · Appointed 2 Oct 1995 · Until 30 Apr 2018

• Steve Mears Limited (no longer appointed)

  FRN 177588 · Appointed 22 Sep 1995 · Until 25 Jan 2022

No changes recorded yet.