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.

• Neil Geoffrey Mounser

  IRN NGM00005

  • CF30 Customer (1 Nov 2007 to 29 Aug 2012)
  • CF21 Investment Adviser (11 Jul 2002 to 31 Oct 2007)
• Neil William Holmes

  IRN NWH00007

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [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)
• Nicholas Andrew Dyson

  IRN NXD00042

  • 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 26 Nov 2024)
  • [FCA CF] Functions requiring qualifications (since 26 Nov 2024)
• Oliver Thomas John Crampton

  IRN OTC01005

  • 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 Jan 2014 to 8 Dec 2019)
• Owen Timothy Meads

  IRN OTM01004

  • 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] Manager of certification employee (since 12 Aug 2024)
  • [FCA CF] Client dealing (since 11 Jul 2022)
  • [FCA CF] Functions requiring qualifications (since 11 Jul 2022)
  • CF21 Investment Adviser (29 May 2002 to 10 Aug 2004)
• Richard James Wilson

  IRN RJW01292

  • CF1 Director (18 Nov 2005 to 1 Jan 2016)
• Tracey Louise Underwood

  IRN TLU01000

  • SMF3 Executive Director (since 21 May 2025)
  • CF2 Non Executive Director (AR) (19 Aug 2024 to 27 Nov 2024)
  • Director of firm who is not a certification employee or a SMF manager (11 Jul 2022 to 29 May 2025)
  • CF30 Customer (28 Feb 2018 to 31 Dec 2018)
  • CF1 Director (7 Jan 2015 to 31 Dec 2018)
  • CF2 Non Executive Director (8 Jun 2010 to 23 Dec 2014)
• Trudi Denise Giles

  IRN TDT00001

  • 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 27 Nov 2024)
  • [FCA CF] Functions requiring qualifications (since 27 Nov 2024)
• Wendy Roe

  IRN WXR00060

  • CF1 Director (AR) (1 Feb 2023 to 2 Sep 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.