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Search ResultsShowing 1 - 10 of 18 results for "GWM Adviser Services"
Adviser banned for five years
ELIZA BAVIN  |  TUESDAY, 26 MAY 2020
... starting with Wealth Today in October 2010 to January 2012. From there he was an authorised representative of GWM Adviser Services, which is owned by National Australia Bank, from January 2012 to November 2012. He was then licensed by AMP Financial Planning ...
MLC launches new advice business
JAMIE WILLIAMSON  |  MONDAY, 25 MAY 2020
... MLC's new home for aligned financial advisers, with all attached to TenFifty operating as representatives of GWM Adviser Services. It will stand alongside Godfrey Pembroke, MLC Connect and salaried adviser business NAB Financial Planning, which will ...
Adviser guilty of misuse of client money
ELIZA BAVIN  |  THURSDAY, 14 MAY 2020
... AMP's Jigsaw Support Services. In March 2012, Dick became an authorised representative of NAB's GWM Adviser Services, where he worked for just over two years before beginning an almost four year stint at Synchron, which ended in April 2018. The ...
500 advisers exit during COVID-19
ELIZABETH MCARTHUR  |  THURSDAY, 23 APR 2020
... three. AMP lost 37 advisers. Ausure went from 47 advisers to just 11, whileThe SMSF Adviser Network lost 25. GWM Adviser Services lost 24 advisers, going from 329 to 305. Charter Financial and National Australia Bank lost 19 advisers each. Consilium ...
MLC waives licensee fees, delays dealer group transitions
JAMIE WILLIAMSON  |  WEDNESDAY, 1 APR 2020
... need it most." MLC is also delaying the commencement of licensee transitions from Apogee and Meritum to GWM Adviser Services and Godfrey Pembroke to July 2020. Those who wish to transition sooner still can, Lloyd clarified. Transitions to fixed-term ...
Former AMP, Synchron adviser charged
HARRISON WORLEY  |  FRIDAY, 21 FEB 2020
... adviser for AMP's Jigsaw Support Services. In March 2012, Dick became an authorised representative of NAB's GWM Adviser Services, where he worked for just over two years before beginning an almost four year stint at Synchron, which ended in April 2018. ...
ASIC bans former Charter, NAB adviser
KANIKA SOOD  |  WEDNESDAY, 8 JAN 2020
A financial adviser who worked for AMP's Charter Financial Planning and NAB's GWM Adviser Services has been handed a four-year ban after the regulator reviewed a sample of his client files. David O'Brien failed to consider his clients' ...
ASIC bans financial adviser
KRISTI CHENG  |  WEDNESDAY, 28 AUG 2019
... an authorised representative of Risk and Investment Advisors Australia, and National Australia Bank-owned GWM Adviser Services before the ban. In failing to act in the best interests of clients, ASIC found Goudie generated fees and commissions for himself. ...
Banks, ASIC still at war over fees-for-no-service
HARRISON WORLEY  |  TUESDAY, 12 MAR 2019
... of this year, while the review and remediation programs of Apogee Financial Planning, Godfrey Pembroke, GWM Adviser Services and Meritum Financial Group are expected to finish by the end of 2020. JB Were has not advised ASIC of when it will complete ...
ASIC bans former NAB, CBA advisers
JAMIE WILLIAMSON  |  THURSDAY, 24 JAN 2019
... ban. Tai Thanh Nguyen of Adelaide was permanently banned by ASIC for dishonest conduct while licensed by GWM Adviser Services and later Interprac Financial Planning. An investigation found Nguyen, a Certified Financial Planner, had backdated advice documents ...
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