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Financial Advisers: DAVID WILLIAM GRIFFITHS Information

This is the detailed information about DAVID WILLIAM GRIFFITHS, it is the Financial Advisers, its unique identifying number allocated to the credit licensee is 000237706, the year the Financial Adviser first provided advice is 1987 (YYYY), the name of the register the record belongs to Financial Advisers. This data update on: 2020-10-28 16:55:15.

Financial Adviser Number: 000237706
Financial Adviser Name: DAVID WILLIAM GRIFFITHS
The role of the Financial Adviser: Financial Adviser
The year the Financial Adviser first provided advice: 1987
  1. Financial Adviser Status: Ceased
    Name of the licence holder: INFOCUS SECURITIES AUSTRALIA PTY LTD
    Licence Number: 000236523
    Licence ABN: 47097797049
    The company(ies) or people who control the licensee's business: STEINHARDT HOLDINGS PTY LTD
    The date the Financial Adviser commenced the appointment: 2011-09-01
    The date the Financial Adviser ceased the appointment: 2019-03-01
    Authorised Representative Name: INFOCUS SECURITIES AUSTRALIA PTY LTD
    Authorised Representative Number: 000236523
    Rep Appointed ABN: 47097797049
    Disciplinary actions start date against the Financial Adviser: 2004-04-02
    Disciplinary actions end date against the Financial Adviser: 2006-04-02
    Disciplinary action type: Order under s829, 830 and 831 of the Corporations Act 2001 (as in force prior to 11 March 2002).
  2. Financial Adviser Status: Ceased
    Name of the licence holder: CONSULTUM FINANCIAL ADVISERS PTY LTD
    Licence Number: 000230323
    Licence ABN: 65006373995
    The company(ies) or people who control the licensee's business: IOOF HOLDINGS LTD
    The date the Financial Adviser commenced the appointment: 2006-07-24
    The date the Financial Adviser ceased the appointment: 2011-09-01
    Authorised Representative Name: DAVID WILLIAM GRIFFITHS
    Authorised Representative Number: 000237706
    Rep Appointed ABN: 72205334662
    Disciplinary actions start date against the Financial Adviser: 2004-04-02
    Disciplinary actions end date against the Financial Adviser: 2006-04-02
    Disciplinary action type: Order under s829, 830 and 831 of the Corporations Act 2001 (as in force prior to 11 March 2002).

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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.