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Financial Advisers: CLIFF JAMES Information

This is the detailed information about CLIFF JAMES, it is the Financial Advisers, its unique identifying number allocated to the credit licensee is 000258216, the year the Financial Adviser first provided advice is 1975 (YYYY), the name of the register the record belongs to Financial Advisers. This data update on: 2020-10-28 16:55:28.

Financial Adviser Number: 000258216
Financial Adviser Name: CLIFF JAMES
The role of the Financial Adviser: Financial Adviser
The year the Financial Adviser first provided advice: 1975
  1. Financial Adviser Status: Current
    Name of the licence holder: UNIQUE ADVISERS PTY LTD
    Licence Number: 000328140
    Licence ABN: 38131483111
    The date the Financial Adviser commenced the appointment: 2012-12-10
    Authorised Representative Name: UNIQUE ADVISERS PTY LTD
    Authorised Representative Number: 000328140
    Rep Appointed ABN: 38131483111
    Fin Deposit and Payment Products/Non-basic Deposit Products: 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 Retirement Savings Account Products: 1
    Fin Securities: 1
    Fin Superannuation: 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: Economics & Finance DFP 1 & DFP2 - RMIT ~ Investment Planning 1 - Integratec ~ Retirement Planning DFP4 - Financial Planning Association ~ Wealth Creation & Retirement Planning DFP5 - Financial Planning Association
  2. Financial Adviser Status: Ceased
    Name of the licence holder: DOVER FINANCIAL ADVISERS PTY LTD
    Licence Number: 000307248
    Licence ABN: 87112139321
    The company(ies) or people who control the licensee's business: TERRY MCMASTER [Date Ceased: 2018-08-01]
    The date the Financial Adviser commenced the appointment: 2008-09-02
    The date the Financial Adviser ceased the appointment: 2012-12-10
    Authorised Representative Name: CLIFF JAMES & ASSOCIATES PTY. LTD.
    Authorised Representative Number: 000329414
    Provides details on the qualifications or training courses the adviser has completed that are relevant to providing FS: Economics & Finance DFP 1 & DFP2 - RMIT ~ Investment Planning 1 - Integratec ~ Retirement Planning DFP4 - Financial Planning Association ~ Wealth Creation & Retirement Planning DFP5 - Financial Planning Association

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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.