Butterworths Asset Management LLP

• Principal Place of Business

  Clawthorpe Hall Business Centre

  Clawthorpe

  Carnforth

  Westmorland And Furness

  LA6 1NU

  UNITED KINGDOM

  Phone

  +4401524782250

• Complaints Contact

  Clawthorpe Hall Business Centre

  Clawthorpe

  Carnforth

  Westmorland And Furness

  LA6 1NU

  UNITED KINGDOM

  Phone

  +4401524782250

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For 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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  • · 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.
  • · 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 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), 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

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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

  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

• 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.

• Anthony Michael Butterworth

  IRN AMB01151

  • SMF27 Partner (7 Jul 2021 to 22 Mar 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Jul 2021 to 22 Mar 2023)
• Hayley Owen

  IRN HXO01061

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Responsibility for MCD Intermediation (since 27 Jun 2022)
  • SMF16 Compliance Oversight (since 7 Jul 2021)
  • SMF27 Partner (since 7 Jul 2021)
  • [FCA CF] Functions requiring qualifications (since 7 Jul 2021)
  • [FCA CF] Client dealing (since 7 Jul 2021)
  • [FCA CF] Manager of certification employee (since 7 Jul 2021)
  • Responsible for Insurance Distribution (since 7 Jul 2021)
• Thomas Shaun Fenton

  IRN TSF00002

  • [FCA CF] Functions requiring qualifications (7 Jul 2021 to 31 Oct 2021)
  • SMF27 Partner (7 Jul 2021 to 28 Oct 2021)
  • [FCA CF] Client dealing (7 Jul 2021 to 31 Oct 2021)

No changes recorded yet.