Vikas Sharma

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Partridge Muir & Warren Limited

    FRN 148029

    • 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] Functions requiring qualifications (since 15 Nov 2024)
    • [FCA CF] Client dealing (since 15 Nov 2024)
  • F3 Wealth Management Limited (no longer approved here)

    FRN 705758

    • [FCA CF] Client dealing (9 Dec 2019 to 9 Apr 2025)
    • [PRA CF] Key function holder (9 Dec 2019 to 9 Apr 2025)
    • SMF3 Executive Director (9 Dec 2019 to 2 Mar 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Mar 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 2 Mar 2025)
    • [FCA CF] Significant management (9 Dec 2019 to 9 Apr 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Apr 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 2 Mar 2025)
    • CF30 Customer (1 Dec 2015 to 8 Dec 2019)
    • CF1 Director (1 Dec 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Dec 2015 to 30 Sep 2018)
  • TrinityBridge Limited (no longer approved here)

    FRN 119329

    • CF30 Customer (14 Jun 2012 to 22 Jan 2014)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (19 Jun 2009 to 19 Apr 2012)

Recent activity

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

No changes recorded yet.