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Financial Advisers: JEAN KAORU FINDLAY Information

This is the detailed information about JEAN KAORU FINDLAY, it is the Financial Advisers, its unique identifying number allocated to the credit licensee is 000222823, the year the Financial Adviser first provided advice is 1997 (YYYY), the name of the register the record belongs to Financial Advisers. This data update on: 2020-10-28 16:55:09.

Financial Adviser Number: 000222823
Financial Adviser Name: JEAN KAORU FINDLAY
The role of the Financial Adviser: Financial Adviser
The year the Financial Adviser first provided advice: 1997
Adviser Town: Sydney
Adviser State: NSW
Adviser Country: Australia
  1. Financial Adviser Status: Ceased
    Name of the licence holder: SHAW AND PARTNERS LIMITED
    Licence Number: 000236048
    Licence ABN: 24003221583
    The date the Financial Adviser commenced the appointment: 2004-05-05
    The date the Financial Adviser ceased the appointment: 2017-09-08
    Authorised Representative Name: SHAW AND PARTNERS LIMITED
    Authorised Representative Number: 000236048
    Rep Appointed ABN: 24003221583
    Provides details on the qualifications or training courses the adviser has completed that are relevant to providing FS: Accreditation for Self Managed Super Funds - Tribeca ~ Bachelor of Science - University of Sydney ~ Diploma of Financial Planning - Financial Planning Association ~ Margin Lending & Geared Investments - Deakin Prime ~ Master of Commerce (Finance) - University of New South Wales
  2. The sub type of the Financial Adviser: Financial Adviser
    Financial Adviser Status: Current
    Name of the licence holder: MORGANS FINANCIAL LIMITED
    Licence Number: 000235410
    Licence ABN: 49010669726
    The date the Financial Adviser commenced the appointment: 2018-01-19
    Authorised Representative Name: MORGANS FINANCIAL LIMITED
    Authorised Representative Number: 000235410
    Rep Appointed ABN: 49010669726
    Fin Deposit and Payment Products/Non-basic Deposit Products: 1
    Fin Derivatives: 1
    Fin Government Debentures, Stocks or Bonds: 1
    Fin Life Products/Investment Life Insurance Products: 1
    Fin Life Products/Life Risk Insurance Products: 1
    Fin Managed Investment Schemes, including IDPS: 1
    Fin Securities: 1
    Fin Superannuation: 1
    Fin Margin Lending Facility/Standard Margin Lending Facility: 1
    Fin Margin Lending Facility/Non-Standard Margin Lending Facility: 0
    Fin Miscellaneous Financial Facility/Miscellaneous Financial Investment Products - MDA Services: 1
    Provides details on the qualifications or training courses the adviser has completed that are relevant to providing FS: Accreditation for Self Managed Super Funds - Tribeca ~ Bachelor of Science - University of Sydney ~ Diploma of Financial Planning - Financial Planning Association ~ Margin Lending & Geared Investments - Deakin Prime ~ Master of Commerce (Finance) - University of New South Wales



Data Dictionary

The company(ies) or people who control the licensee's business: They can sometimes be a majority shareholder or able to control votes at meetings or board composition.
Disciplinary action type: Disciplinary action type. ASIC has regulatory powers in relation to financial advisers and can ban individuals from providing financial product advice.
Fin, e.g: Fin Carbon Credits/Carbon Unit, means Provide Financial Product Advice - Carbon Credits/Carbon Unit. The following logic is applied to product authorisation codes. IF Financial Adviser is authorised to provide advice on this product AND their status equals current THEN show 1 ELSE show null. Product Authorisations are for current Financial Advisers only, null values are used for ceased Financial Advisers.
If more than one entry exists they will be concatenated together and separated by a tilde.