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Financial Advisers: RICHARD NICHOLAS Information

This is the detailed information about RICHARD NICHOLAS, it is the Financial Advisers, its unique identifying number allocated to the credit licensee is 000226173, the year the Financial Adviser first provided advice is 1999 (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: 000226173
Financial Adviser Name: RICHARD NICHOLAS
The role of the Financial Adviser: Financial Adviser
The year the Financial Adviser first provided advice: 1999
Adviser Town: Sydney
Adviser State: NSW
Adviser Country: Australia
  1. The sub type of the Financial Adviser: Financial Adviser
    Financial Adviser Status: Current
    Name of the licence holder: PEAK INVESTMENT HOLDINGS PTY LTD
    Licence Number: 000304008
    Licence ABN: 17118685993
    The date the Financial Adviser commenced the appointment: 2006-11-21
    Authorised Representative Name: PEAK INVESTMENT HOLDINGS PTY LTD
    Authorised Representative Number: 000304008
    Rep Appointed ABN: 17118685993
    Fin Deposit and Payment Products/Non-basic Deposit Products: 1
    Fin Managed Investment Schemes, including IDPS: 1
    Fin Managed Investment Schemes/MDA Services: 1
    Fin Securities: 1
    Fin Margin Lending Facility/Non-Standard Margin Lending Facility: 0
    Provides details on the qualifications or training courses the adviser has completed that are relevant to providing FS: -Insurances; Code of Banking; Consumer Credit Code; Consumer Credit writing; - ANZ BANK ~ DIPLOMA OF FINANCIAL PLANNING - FPA AUSTRALIA DEAKIN UNIVERSITY ~ ETHICS AND INTEGRITY - UK SECURITIES INSTITUTE
    Provides details of memberships of professional bodies or industry associations relevant to providing financial services: BRITISH CHAMBER OF COMMERCE ~ CHARTERED INSTITUTE FOR SECURITIES AND INVESTMENT, LONDON ~ DIRECTOR INSTITUTE SYDNEY
  2. Financial Adviser Status: Ceased
    Name of the licence holder: ALTAIR ASSETS PTY LTD
    Licence Number: 000238364
    Licence ABN: 20089992594
    The date the Financial Adviser commenced the appointment: 2007-05-01
    The date the Financial Adviser ceased the appointment: 2010-04-11
    Provides details on the qualifications or training courses the adviser has completed that are relevant to providing FS: -Insurances; Code of Banking; Consumer Credit Code; Consumer Credit writing; - ANZ BANK ~ DIPLOMA OF FINANCIAL PLANNING - FPA AUSTRALIA DEAKIN UNIVERSITY ~ ETHICS AND INTEGRITY - UK SECURITIES INSTITUTE
    Provides details of memberships of professional bodies or industry associations relevant to providing financial services: BRITISH CHAMBER OF COMMERCE ~ CHARTERED INSTITUTE FOR SECURITIES AND INVESTMENT, LONDON ~ DIRECTOR INSTITUTE SYDNEY

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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.