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Financial Advisers: ADAM DAWES Information

This is the detailed information about ADAM DAWES, it is the Financial Advisers, its unique identifying number allocated to the credit licensee is 000268085, the year the Financial Adviser first provided advice is 2009 (YYYY), the name of the register the record belongs to Financial Advisers. This data update on: 2020-10-28 16:55:33.

Financial Adviser Number: 000268085
Financial Adviser Name: ADAM DAWES
The role of the Financial Adviser: Financial Adviser
The year the Financial Adviser first provided advice: 2009
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: SHAW AND PARTNERS LIMITED
    Licence Number: 000236048
    Licence ABN: 24003221583
    The date the Financial Adviser commenced the appointment: 2004-03-10
    Authorised Representative Name: SHAW AND PARTNERS LIMITED
    Authorised Representative Number: 000236048
    Rep Appointed ABN: 24003221583
    Fin Deposit and Payment Products/Non-basic Deposit Products: 1
    Fin Derivatives: 1
    Fin Managed Investment Schemes, including IDPS: 1
    Fin Managed Investment Schemes/MDA Services: 1
    Fin Margin Lending Facility/Non-Standard Margin Lending Facility: 0
    Fin Miscellaneous Financial Facility/Miscellaneous Financial Investment Products - MDA Services: 1
    Fin Miscellaneous Financial Facility/Miscellaneous Financial Investment Products: 1
    All Securities: 1
    Provides details on the qualifications or training courses the adviser has completed that are relevant to providing FS: Graduate Diploma in Applied Finance & Investment - Securities Institute of Australia ~ Margin Lending - Deakin Prime
    Provides details of memberships of professional bodies or industry associations relevant to providing financial services: Stockbrokers and Financial Advisers Association (SAFAA)

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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.