Robert Charles Sharpley

Watch for changes

Where they hold approval

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

SODERBERG & PARTNERS FINANCIAL PLANNING LIMITED (no longer approved here)
FRN 671601
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Aug 2023)
- SMF16 Compliance Oversight (9 Dec 2019 to 21 Aug 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Aug 2023)
- SMF3 Executive Director (9 Dec 2019 to 21 Aug 2023)
- [FCA CF] Client dealing (9 Dec 2019 to 22 Aug 2023)
- Responsible for Insurance Distribution (1 Oct 2018 to 21 Aug 2023)
- Responsible for Insurance Mediation (11 May 2015 to 30 Sep 2018)
- CF1 Director (11 May 2015 to 8 Dec 2019)
- CF10 Compliance Oversight (11 May 2015 to 8 Dec 2019)
- CF11 Money Laundering Reporting (11 May 2015 to 8 Dec 2019)
- CF30 Customer (11 May 2015 to 8 Dec 2019)
2 Plan Wealth Management Limited (no longer approved here)
FRN 461598
- CF30 Customer (15 Jan 2010 to 11 Jun 2015)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.