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

  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.

• James Anthony Reece

  IRN JAR01218

  • CF1 Director (AR) (19 Jan 2011 to 27 Jul 2020)
• James Edward Dyson

  IRN JXD00082

  • 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 27 Nov 2024)
  • [FCA CF] Client dealing (since 27 Nov 2024)
• Joel Jethro Andrew Rollitt

  IRN JXR00231

  • 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 19 Feb 2021)
  • [FCA CF] Functions requiring qualifications (since 19 Feb 2021)
  • Appointed representative dealing with clients for which they require qualification (10 Jun 2024 to 18 Dec 2024)
  • CF30 Customer (7 Jun 2024 to 27 Nov 2024)
• Jonathan Charles Binder

  IRN JCB00092

  • CF21 Investment Adviser (17 Jul 2003 to 17 Jul 2003)
• Joshua Lawrence Buck

  IRN JLB01189

  • CF30 Customer (16 Mar 2015 to 23 Mar 2017)
• Kelvin Brian Rollitt

  IRN KBR00007

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2021)
  • CF30 Customer (1 Oct 2017 to 8 Dec 2019)
• Mark Anthony Nind

  IRN MAN00006

  • [FCA CF] Functions requiring qualifications (3 Jun 2024 to 27 Dec 2025)
  • [FCA CF] Client dealing (3 Jun 2024 to 27 Dec 2025)
• Michael Andrew Cole

  IRN MAC00091

  • CF30 Customer (1 Nov 2007 to 4 Dec 2009)
  • CF1 Director (10 Feb 2006 to 1 Mar 2006)
  • CF21 Investment Adviser (3 Jul 2002 to 31 Oct 2007)
• Michael David Simms

  IRN MDS01142

  • 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)
  • 14. Managing investments
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 26 Oct 2020)
  • CF1 Director (AR) (27 Jul 2007 to 19 Oct 2020)
  • CF24 Pension Transfer Specialist (8 Nov 2005 to 31 Oct 2007)
  • CF1 Director (8 Nov 2005 to 7 Feb 2018)
  • CF21 Investment Adviser (7 May 2004 to 31 Oct 2007)
• Michael Peter Dixon

  IRN MPD00024

  • CF30 Customer (3 Jan 2012 to 31 Dec 2012)

• 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.