Nicola Jane Butterworth

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • ValidPath Limited

    FRN 197107

    • 11. Pension transfer specialist
    • 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 28 Mar 2025)
    • [FCA CF] Functions requiring qualifications (since 28 Mar 2025)
    • Responsibility for MCD Intermediation (since 13 Oct 2021)
    • Responsible for Insurance Distribution (since 13 Oct 2021)
    • SMF16 Compliance Oversight (since 25 May 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Mar 2020)
    • CF30 Customer (8 Sep 2009 to 8 Dec 2019)
    • CF1 Director (AR) (11 Sep 2006 to 13 Nov 2008)
    • CF22 Investment Adviser (Trainee) (11 Sep 2006 to 31 Oct 2007)
  • ValidPath Financial Limited

    FRN 836465

    • Responsibility for MCD Intermediation (since 8 Mar 2023)
    • Responsible for Insurance Distribution (since 8 Mar 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Jun 2021)
    • SMF16 Compliance Oversight (since 7 Jun 2021)
    • [FCA CF] Functions requiring qualifications (9 Sep 2021 to 16 Dec 2024)
    • [FCA CF] Client dealing (9 Sep 2021 to 16 Dec 2024)
  • Allens Private Client LLP (no longer approved here)

    FRN 506349

    • Employed By (8 Sep 2009 to 8 Dec 2019)
  • Perennial Financial Management Limited (no longer approved here)

    FRN 402393

    • CF30 Customer (8 Jul 2008 to 9 Jul 2009)

Recent activity

Updates to this individual's record on the FCA register.

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