D B Financial Management Limited

• Principal Place of Business

  Insight Financial Associates Ltd

  Insight House 7a

  Alkmaar Way

  Norwich

  Norfolk

  NR6 6BF

  UNITED KINGDOM

  Phone

  +4401603268080

  Web

  https://www.bridgeifa.com

• Complaints Contact

  Insight Financial Associates Ltd

  Insight House 7a

  Alkmaar Way

  Norwich

  Norfolk

  NR6 6BF

  UNITED KINGDOM

  Phone

  +4401603268080

• 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

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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.

• 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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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.

• 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.

• Andrew Fabian

  IRN AJF01201

  • 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
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Andrew Stephenson

  IRN ACS01144

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Antony Peter Howard

  IRN APH00035

  • 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)
  • 9A. Advising on P2P agreements
  • [FCA CF] Manager of certification employee (since 13 Sep 2021)
  • Responsible for Insurance Distribution (since 30 Oct 2020)
  • SMF3 Executive Director (since 6 Oct 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Oct 2020)
  • SMF16 Compliance Oversight (since 6 Oct 2020)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Christopher Macey

  IRN CJM00079

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2023)
• Christopher Stimpson

  IRN CXS80123

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 21 Feb 2022)
• Christopher Woodhouse

  IRN CDW01073

  • 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] Functions requiring qualifications (since 26 Apr 2023)
  • [FCA CF] Client dealing (since 26 Apr 2023)
• Daniel Peter Appleton

  IRN DPA01026

  • 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
  • 11. Pension transfer specialist
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• David Bridge

  IRN DRB00064

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Dec 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 27 Oct 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 27 Oct 2020)
  • SMF3 Executive Director (9 Dec 2019 to 27 Oct 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 16 Dec 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 27 Oct 2020)
  • CF1 Director (15 Oct 2010 to 8 Dec 2019)
  • CF10 Compliance Oversight (15 Oct 2010 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (15 Oct 2010 to 8 Dec 2019)
  • CF30 Customer (15 Oct 2010 to 8 Dec 2019)
  • Responsible for Insurance Mediation (15 Oct 2010 to 30 Sep 2018)
• David Stuart Taylor

  IRN DXT00224

  • [FCA CF] Manager of certification employee (since 21 Feb 2022)
• Duncan Pluck

  IRN DCP01073

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)

• K H Financial Services Limited (no longer appointed)

  FRN 590548 · Appointed 1 Nov 2012 · Until 9 Jan 2019

No changes recorded yet.