D B Wood Limited

• Principal Place of Business

  Potterdyke House

  31-33 Lombard Street

  Newark

  Nottinghamshire

  NG24 1XG

  UNITED KINGDOM

  Phone

  +4401636233200

  Web

  https://www.amberriverdbwood.com

• Complaints Contact

  Potterdyke House

  31-33 Lombard Street

  Newark

  Nottinghamshire

  NG24 1XG

  UNITED KINGDOM

  Phone

  +4401636233200

• 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 pension policies with a Guaranteed Annuity Rate.
  • · 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

  For Professional, Retail (Investment)

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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

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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 Arranging

  For Customer, Regulated mortgage contract

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Credit Brokering

• Stockbroking

  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.

• Debt Plan Admin

• Debt Collection

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• 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

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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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Adam James Sedgwick

  IRN AJS00156

  • 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)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (29 May 2002 to 31 Oct 2007)
• Alexander Andrew Chappell

  IRN AXC00110

  • 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
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 13 Jul 2020)
  • [FCA CF] Client dealing (since 13 Jul 2020)
• Andrew Mark Fennell

  IRN AMF01069

  • CF30 Customer (1 Apr 2014 to 14 Sep 2015)
• Andrew Mark Lane

  IRN AXL01350

  • CF1 Director (AR) (19 Dec 2007 to 27 Jul 2020)
• Andrew Philip Roe

  IRN APR00004

  • CF1 Director (AR) (20 Feb 2023 to 2 Sep 2024)
• Ashley Brooks

  IRN AXB00007

  • 14. Managing investments
  • 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
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 27 Sep 2016)
  • CF1 Director (AR) (19 Aug 2024 to 27 Nov 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 7 Apr 2026)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (29 May 2002 to 31 Mar 2009)
  • CF24 Pension Transfer Specialist (29 May 2002 to 31 Oct 2007)
  • CF21 Investment Adviser (29 May 2002 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (29 May 2002 to 8 Dec 2019)
  • CF10 Compliance Oversight (29 May 2002 to 8 Dec 2019)
  • CF1 Director (29 May 2002 to 8 Dec 2019)
• Bernard John Gallimore

  IRN BJG00003

  • CF30 Customer (1 Apr 2012 to 6 May 2016)
• Carlo Cavaliere

  IRN CXC01408

  • SMF3 Executive Director (since 21 May 2025)
  • Director of firm who is not a certification employee or a SMF manager (11 Jul 2022 to 28 May 2025)
• Caroline Louise Stuart

  IRN CLS01142

  • CF30 Customer (6 Feb 2017 to 2 Aug 2019)
• Catherine Jane Pell

  IRN CJP01201

  • Appointed representative dealing with clients for which they require qualification (1 Mar 2023 to 28 Jun 2024)
  • CF30 Customer (1 Feb 2023 to 28 Jun 2024)

• Andy Roe Financial Services (no longer appointed)

  FRN 990960 · Appointed 1 Feb 2023 · Until 18 Dec 2024

• RJW Risk Management Ltd (no longer appointed)

  FRN 822191 · Appointed 3 Oct 2018 · Until 24 Oct 2018

• C&L Financial Planning Ltd (no longer appointed)

  FRN 221272 · Appointed 17 Jul 2006 · Until 30 Oct 2020

No changes recorded yet.