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Financial Advisers: HAROLD JOHN GARDEN Information

This is the detailed information about HAROLD JOHN GARDEN, it is the Financial Advisers, its unique identifying number allocated to the credit licensee is 000245941, the year the Financial Adviser first provided advice is 1984 (YYYY), the name of the register the record belongs to Financial Advisers. This data update on: 2020-10-28 16:55:21.

Financial Adviser Number: 000245941
Financial Adviser Name: HAROLD JOHN GARDEN
The role of the Financial Adviser: Financial Adviser
The year the Financial Adviser first provided advice: 1984
  1. Financial Adviser Status: Ceased
    Name of the licence holder: SECURITOR FINANCIAL GROUP LTD
    Licence Number: 000240687
    Licence ABN: 48009189495
    The company(ies) or people who control the licensee's business: WESTPAC BANKING CORPORATION
    The date the Financial Adviser commenced the appointment: 2003-12-01
    The date the Financial Adviser ceased the appointment: 2009-09-14
  2. Financial Adviser Status: Ceased
    Name of the licence holder: RISK AND INVESTMENT ADVISORS AUSTRALIA PTY. LTD.
    Licence Number: 000238141
    Licence ABN: 21104922394
    The date the Financial Adviser commenced the appointment: 2013-06-04
    The date the Financial Adviser ceased the appointment: 2015-02-12
  3. Financial Adviser Status: Ceased
    Name of the licence holder: ALPHA INVESTMENT MANAGEMENT PTY LTD
    Licence Number: 000307379
    Licence ABN: 13122381908
    The company(ies) or people who control the licensee's business: STEINHARDT HOLDINGS PTY LTD
    The date the Financial Adviser commenced the appointment: 2015-02-13
    The date the Financial Adviser ceased the appointment: 2018-12-21
    Authorised Representative Name: ALPHA INVESTMENT MANAGEMENT PTY LTD
    Authorised Representative Number: 000307379
    Rep Appointed ABN: 13122381908

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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.