R.A. Cowen & Partners (Financial Services) Limited

• Principal Place of Business

  Inbro House

  Commercial Gate

  Mansfield

  Nottinghamshire

  NG18 1EU

  UNITED KINGDOM

  Phone

  +4401623666123

  Web

  https://www.cowensgroup.co.uk/personal

• Complaints Contact

  Inbro House

  Commercial Gate

  Mansfield

  Nottinghamshire

  NG18 1EU

  UNITED KINGDOM

  Phone

  +4401623666123

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

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  • · 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 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.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, 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), Certificates representing certain security, Debenture, Government and public security, 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

• Debt Advice

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling with no debt management activity
  • · This permission is limited to debt counselling which is provided in connection with investment advice

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, 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.

• Antony Duckworth

  IRN AXD01612

  • Responsibility for MCD Intermediation (20 Oct 2021 to 31 Aug 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2020 to 30 Aug 2023)
  • SMF16 Compliance Oversight (7 Aug 2020 to 31 Aug 2023)
  • SMF3 Executive Director (9 Dec 2019 to 31 Aug 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Aug 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Aug 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Aug 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 31 Aug 2023)
  • CF11 Money Laundering Reporting (4 Sep 2018 to 8 Dec 2019)
  • Responsible for Insurance Mediation (4 Sep 2018 to 30 Sep 2018)
  • CF1 Director (AR) (23 Jul 2013 to 31 Aug 2023)
  • CF1 Director (27 Nov 2009 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 31 Aug 2023)
  • CF21 Investment Adviser (23 Nov 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (4 Oct 2005 to 31 Oct 2007)
• Caroline Teresa Royle

  IRN CTM00003

  • SMF3 Executive Director (9 Dec 2019 to 21 Apr 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 21 Apr 2020)
  • CF1 Director (AR) (23 Jul 2013 to 21 Apr 2020)
  • CF1 Director (17 Aug 2009 to 8 Dec 2019)
  • CF10 Compliance Oversight (17 Aug 2009 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 23 Feb 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Catherine Elizabeth Davison

  IRN CXR00169

  • 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 15 Nov 2023)
• Charlie Stephen Garner

  IRN CXG00355

  • [FCA CF] Functions requiring qualifications (7 Nov 2022 to 8 Nov 2024)
  • [FCA CF] Client dealing (7 Nov 2022 to 8 Nov 2024)
• Daniel Brooks

  IRN DXB02810

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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)
  • [FCA CF] Client dealing (since 6 Oct 2023)
  • [FCA CF] Functions requiring qualifications (since 12 Jul 2023)
  • Appointed representative dealing with clients for which they require qualification (since 12 Jul 2023)
• David Alan Wild

  IRN DXW00597

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 19 Dec 2024)
  • [FCA CF] Client dealing (since 19 Dec 2024)
• David Carroll

  IRN DXC08972

  • 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)
  • Responsibility for MCD Intermediation (since 10 Oct 2023)
  • Responsible for Insurance Distribution (since 10 Oct 2023)
  • SMF16 Compliance Oversight (since 10 Oct 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Oct 2023)
  • [FCA CF] Manager of certification employee (since 22 Aug 2023)
  • CF1 Director (AR) (since 24 Sep 2020)
  • SMF3 Executive Director (since 5 Aug 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (17 Dec 2018 to 8 Dec 2019)
• David Ronald Evanson

  IRN DRE00004

  • CF1 Director (AR) (23 Jul 2013 to 16 Aug 2018)
  • CF30 Customer (1 Nov 2007 to 16 Aug 2018)
  • Responsible for Insurance Mediation (14 Jan 2005 to 16 Aug 2018)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 16 Aug 2018)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Jul 2009)
  • CF1 Director (1 Dec 2001 to 16 Aug 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• Glenn Robert Durkin

  IRN GRD00006

  • CF21 Investment Adviser (1 Dec 2001 to 16 Jun 2003)
• Jillian Susanne Thomas

  IRN JST00005

  • CF30 Customer (1 Nov 2007 to 23 Sep 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 23 Sep 2009)

• Cowens Mortgage Solutions Limited

  FRN 967252 · Appointed 11 Jan 2022

• Cowens Employee Benefits Ltd

  FRN 603624 · Appointed 2 Jul 2013

No changes recorded yet.