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Showing 61 - 70 of 100+ results for "Financial Adviser Register"

YBR national advice lead moves to Interprac

ELIZABETH MCARTHUR  |  FRIDAY, 3 APR 2020
... licensed by Interprac (which holds an AFSL within the Sequoia Group). Rainmaker analysis of the ASIC Financial Adviser Register shows a few of YBR advisers have left the industry since the sale (from 58 in December 2019 to 55 in February 2020).

Industry funds a bright spot for advisers

ELIZABETH MCARTHUR  |  MONDAY, 16 MAR 2020
... funds are recruiting. In the three months to today, 757 financial advisers have dropped off the ASIC Financial Adviser Register. During that same period, industry funds have picked up 19 new advisers, according to Rainmaker analysis. Of the advisers ...

Madison advisers loyal amid sale

KANIKA SOOD  |  WEDNESDAY, 4 MAR 2020
... due 5pm today. Prospective suitors will have to sign a confidentiality deed. As the wheels turn, ASIC Financial Adviser Register (FAR) numbers show Madison's advisers have stuck it out with the firm during the ordeal. It had 101 active advisers at ...

Former AMP, Synchron adviser charged

HARRISON WORLEY  |  FRIDAY, 21 FEB 2020
... February 10, where Dick was granted bail but order to surrender his passport. According to the ASIC Financial Adviser Register, Dick is a member of the Association of Financial Advisers. Earlier this week a 73-year-old man from Nowra in New South Wales ...

Count Financial treads new path

JAMIE WILLIAMSON  |  THURSDAY, 20 FEB 2020
... first seven months of 2020 has already seen close to 400 advisers exit, Rainmaker analysis of the ASIC Financial Adviser Register shows. "Significant challenges come into play in the 2021 financial year as we move away from grandfathered revenue, reposition ...

Former Macquarie adviser cops lifetime ban

ALLY SELBY  |  THURSDAY, 13 FEB 2020
... between December 2015 and May 2018 - the entire time he was licensed by Macquarie. After this, the ASIC Financial Adviser Register shows Acworth moved to Shaw and Partners where he worked until 31 December 2019. ASIC said Acworth undertook dishonest ...

Where to from here?

JAMIE WILLIAMSON  |  WEDNESDAY, 5 FEB 2020
... financial advice industry has suffered most. According to Rainmaker analysis, at January end the ASIC Financial Adviser Register showed 23,473 active advisers. In the first week of February 2019 that figure stood at 27,792. That's a drop of 4319 - or ...

ASIC bans former Godfrey Pembroke adviser

HARRISON WORLEY  |  THURSDAY, 30 JAN 2020
... Tribunal for a stay of the banning order. The application was dismissed by the AAT on January 23. ASIC's Financial Adviser Register shows Cassidy worked for Godfrey Pembroke for almost eight years, having joined the firm in 2011. After leaving in December ...

ASIC bans former Charter, NAB adviser

KANIKA SOOD  |  WEDNESDAY, 8 JAN 2020
... 2016. O'Brien is a member of the Financial Planning Association of Australia, according to the ASIC Financial Adviser Register. "The FPA has already taken disciplinary action, Mr David Allen O'Brien's membership of the FPA was terminated on 20 December ...

SMSF adviser hit with ban

ELIZABETH MCARTHUR  |  MONDAY, 6 JAN 2020
... Fund. He failed to disclose those conflicts of interest in statements of advice to clients. The ASIC Financial Adviser Register shows Blazejczyk is a member of the SMSF Association, the Association of Independently Owned Financial Professionals and the ...