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

  Show 2 limitations Hide limitations

  • · 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

  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 Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  For Professional, Retail (Investment)

  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.

• 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

  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.

• 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

  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.

• Debt Plan Admin

• Debt Collection

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• Christopher Paul Dodsley

  IRN CPD00004

  • CF21 Investment Adviser (15 Jan 2004 to 31 Mar 2004)
• Darren Thomas Mead

  IRN DTM00016

  • [FCA CF] Manager of certification employee (since 4 Feb 2026)
• David Alan Hope

  IRN DAH01182

  • CF1 Director (AR) (10 Jan 2008 to 27 Jul 2020)
• David Andrew Ingham

  IRN DAI00004

  • CF30 Customer (1 Nov 2007 to 5 Aug 2010)
  • CF21 Investment Adviser (29 May 2002 to 31 Oct 2007)
• David Martin McClymont

  IRN DMM00032

  • CF30 Customer (1 Nov 2007 to 4 Aug 2010)
  • CF21 Investment Adviser (21 Jul 2005 to 31 Oct 2007)
• David Reynolds

  IRN DXR00001

  • CF30 Customer (1 Nov 2007 to 29 Jun 2016)
  • CF24 Pension Transfer Specialist (26 Jul 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (26 Jul 2005 to 31 Oct 2007)
• Dominic Jake Harrison

  IRN DXH18789

  • 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] Manager of certification employee (since 29 Jan 2024)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (20 Aug 2019 to 8 Dec 2019)
• Elizabeth Hogan

  IRN EVO01001

  • 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
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 27 Nov 2024)
  • [FCA CF] Client dealing (since 27 Nov 2024)
• Graham Walter Hicks

  IRN GWH00020

  • CF30 Customer (1 Nov 2007 to 6 May 2016)
  • CF21 Investment Adviser (29 May 2002 to 31 Oct 2007)
  • CF1 Director (29 May 2002 to 2 Feb 2011)
• Helen Jane Jackson

  IRN HJJ00013

  • CF1 Director (1 Jan 2014 to 3 Feb 2015)

• 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.