Hugh Davies Associates Limited

• Principal Place of Business

  New Barn

  Manor Farm Courtyard

  Southam Lane

  Southam

  Cheltenham

  Gloucestershire

  GL52 3PB

  UNITED KINGDOM

  Phone

  +4401242514563

  Web

  https://www.amberriver.com/hda

• Complaints Contact

  New Barn

  Manor Farm Courtyard

  Southam Lane

  Southam

  Cheltenham

  Gloucestershire

  GL52 3PB

  UNITED KINGDOM

  Phone

  +4401242514563

• 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, 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.

• Authorised to Operate

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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, 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• 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, 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 Advice

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

• Richard Paul Wood

  IRN RPW01069

  • CF11 Money Laundering Reporting (1 Dec 2001 to 14 Mar 2005)
• Robert Michael Blount

  IRN RMB01181

  • CF30 Customer (8 Apr 2013 to 14 May 2013)
• Robin Anthony Etherington

  IRN RAE00001

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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
  • 14. Managing investments
  • [FCA CF] Manager of certification employee (since 2 Nov 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Jul 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 15 Jul 2025)
  • Responsible for Insurance Distribution (1 Oct 2018 to 15 Jul 2025)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 28 Mar 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (17 Nov 2006 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (1 Apr 2005 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
• Terence Ronald Griffiths

  IRN TRG00001

  • CF21 Investment Adviser (1 Dec 2001 to 15 Nov 2006)
• William Edward Charles Worsley

  IRN WXW00027

  • [FCA CF] Functions requiring qualifications (18 Jun 2020 to 16 Aug 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 16 Aug 2022)

• Revision Investment Services Limited (no longer appointed)

  FRN 460090 · Appointed 8 Jan 2007 · Until 15 Aug 2017

No changes recorded yet.