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Showing 71 - 80 of 95 results for "ASIC Financial Adviser"

Where to from here?

JAMIE WILLIAMSON  |  WEDNESDAY, 5 FEB 2020
... that the 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 ...

ASIC bans former Charter, NAB adviser

KANIKA SOOD  |  WEDNESDAY, 8 JAN 2020
... July 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 ...

SMSF adviser hit with ban

ELIZABETH MCARTHUR  |  MONDAY, 6 JAN 2020
... Opportunities 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 ...

YBR exits wealth, sells for $2.5 million

ELIZABETH MCARTHUR  |  MONDAY, 6 JAN 2020
... licenced advisers of Interprac (which holds an AFSL within the Sequoia Group). Rainmaker analysis of the ASIC Financial Adviser Register shows that YBR had 58 advisers in the middle of December and that number has not yet changed following the announcement ...

Integration of super advice business completes

ELIZABETH MCARTHUR  |  WEDNESDAY, 11 DEC 2019
The integration of StatePlus into $77 billion industry fund First State Super is being tied up. The ASIC Financial Adviser Register showed hundreds of StatePlus financial advisers as 'ceased' earlier this week. This was an administrative action as StatePlus ...

Elders FP to shutter

JAMIE WILLIAMSON  |  TUESDAY, 10 DEC 2019
... with a phased wind down of its business," the spokesperson said. According to Rainmaker analysis of the ASIC Financial Adviser Register, Elders is currently home to 59 advisers. The advisers are expected to transition to other licensees, with most likely ...

FASEA exam tips from those who passed

ELIZABETH MCARTHUR  |  THURSDAY, 28 NOV 2019
... sit it in an upcoming session, Glenfield explained that accounts for about one quarter of the advisers on ASIC Financial Adviser Register. Newton provided some practical insights for undertaking not only the exam but the ethics course. She shared that ...

Advisers serious about licensee due diligence

JAMIE WILLIAMSON  |  WEDNESDAY, 20 NOV 2019
... notice periods to existing licensees and clients, the group said. According to Rainmaker analysis of the ASIC Financial Adviser Register, as at November 14, the dealer group is home to 71 financial advisers.

Former Apogee, GPS Wealth advisers banned

JAMIE WILLIAMSON  |  THURSDAY, 7 NOV 2019
... Apogee from 2015 to 2018. Prior to this he was licensed by ANZ and, before that, IOOF. According to the ASIC Financial Adviser Register, Khaw is a certified financial planner and member of the Financial Planning Association of Australia. Meanwhile, ASIC ...

Adviser moves show industry upheaval

ELIZABETH MCARTHUR  |  TUESDAY, 5 NOV 2019
Rainmaker analysis of ASIC Financial Adviser Register data has revealed hundreds of movements across advice dealer groups in just the last three months. From July to October end, Commonwealth Financial Planning lost over 100 advisers, going from 568 ...