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.

  • Steven James Mitchell

    IRN SJM01466

    • 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 1 Aug 2007)
  • Steven John Hibbs

    IRN SJH00187

    • CF21 Investment Adviser (1 Dec 2001 to 3 Sep 2004)
  • Steven Paul Mears

    IRN SPM00008

    • CF1 Director (AR) (12 Jun 2019 to 27 Aug 2020)
    • CF4 Partner (AR) (1 Dec 2001 to 31 Dec 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
  • Thomas Gordon Rolls

    IRN TGR00008

    • CF30 Customer (29 Apr 2011 to 27 Jun 2011)
  • Tony Stein

    IRN ALS00012

    • CF1 Director (AR) (12 Nov 2004 to 29 Mar 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
  • Victoria Caroline Walkington

    IRN VCM01004

    • CF10 Compliance Oversight (12 Sep 2002 to 19 Dec 2003)
  • Virendra Solanki

    IRN VXS00011

    • CF30 Customer (16 Apr 2012 to 9 Nov 2012)
    • CF21 Investment Adviser (1 Jul 2002 to 17 Nov 2005)
  • Walter Scott Murray

    IRN WSM00006

    • CF30 Customer (1 Nov 2007 to 1 Oct 2009)
    • CF1 Director (AR) (12 Dec 2002 to 1 Oct 2009)
    • CF21 Investment Adviser (12 Dec 2002 to 31 Oct 2007)
  • Wayne David Hope

    IRN WDH00001

    • CF21 Investment Adviser (1 Dec 2001 to 11 Oct 2002)
  • Wendy Watkin

    IRN WXW01078

    • CF1 Director (AR) (4 Mar 2008 to 1 Apr 2019)

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.

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