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Financial Advisers: FORBES JAMES Information

This is the detailed information about FORBES JAMES, it is the Financial Advisers, its unique identifying number allocated to the credit licensee is 000231589, 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 16:55:11.

Financial Adviser Number: 000231589
Financial Adviser Name: FORBES JAMES
The role of the Financial Adviser: Financial Adviser
The year the Financial Adviser first provided advice: 1997
  1. Financial Adviser Status: Ceased
    Name of the licence holder: MAGNITUDE GROUP PTY LTD
    Licence Number: 000221557
    Licence ABN: 54086266202
    The company(ies) or people who control the licensee's business: WESTPAC BANKING CORPORATION
    The date the Financial Adviser commenced the appointment: 2012-04-02
    The date the Financial Adviser ceased the appointment: 2015-10-31
    Authorised Representative Name: MAGNITUDE GROUP PTY LTD
    Authorised Representative Number: 000221557
    Rep Appointed ABN: 54086266202
    Provides details on areas the Financial Adviser is restricted from giving advice on: This adviser is also authorised to provide personal advice on managed discretionary accounts provided only on a regulated platform
  2. Financial Adviser Status: Ceased
    Name of the licence holder: COUNT FINANCIAL LIMITED
    Licence Number: 000227232
    Licence ABN: 19001974625
    The company(ies) or people who control the licensee's business: COUNT MEMBER FIRM PTY LTD ~ COUNTPLUS LIMITED ~ COMMONWEALTH BANK OF AUSTRALIA [Date Ceased: 2019-10-01]
    The date the Financial Adviser commenced the appointment: 1997-08-22
    The date the Financial Adviser ceased the appointment: 2012-03-29

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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.