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Financial Advisers: JAMES RICHARD GREGORY SMITH Information

This is the detailed information about JAMES RICHARD GREGORY SMITH, it is the Financial Advisers, its unique identifying number allocated to the credit licensee is 000276116, the year the Financial Adviser first provided advice is 2008 (YYYY), the name of the register the record belongs to Financial Advisers. This data update on: 2020-10-28 16:55:35.

Financial Adviser Number: 000276116
Financial Adviser Name: JAMES RICHARD GREGORY SMITH
The role of the Financial Adviser: Financial Adviser
The year the Financial Adviser first provided advice: 2008
  1. Financial Adviser Status: Ceased
    Name of the licence holder: PROFESSIONAL INVESTMENT SERVICES PTY LTD
    Licence Number: 000234951
    Licence ABN: 11074608558
    The company(ies) or people who control the licensee's business: CENTREPOINT WEALTH PTY LTD
    The date the Financial Adviser commenced the appointment: 2015-05-06
    The date the Financial Adviser ceased the appointment: 2015-06-12
    Authorised Representative Name: ULTON WEALTH MANAGEMENT PTY LTD
    Authorised Representative Number: 000460875
    Rep Appointed ABN: 73168815450
  2. Financial Adviser Status: Ceased
    Name of the licence holder: AMP FINANCIAL PLANNING PTY LIMITED
    Licence Number: 000232706
    Licence ABN: 89051208327
    The company(ies) or people who control the licensee's business: AMP ADVICE HOLDINGS PTY LTD ~ AMP GROUP HOLDINGS LIMITED ~ AMP HOLDINGS LIMITED ~ AMP LIMITED ~ AMP WEALTH MANAGEMENT HOLDINGS PTY LTD ~ NATIONAL MUTUAL FUNDS MANAGEMENT (GLOBAL) LIMITED
    The date the Financial Adviser commenced the appointment: 2008-09-25
    The date the Financial Adviser ceased the appointment: 2010-09-21
  3. Financial Adviser Status: Ceased
    Name of the licence holder: COMBINED INSURANCE COMPANY OF AMERICA
    Licence Number: 000232409
    Licence ABN: 77009714425
    The date the Financial Adviser commenced the appointment: 2004-05-24
    The date the Financial Adviser ceased the appointment: 2004-07-02
  4. Financial Adviser Status: Ceased
    Name of the licence holder: AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
    Licence Number: 000234527
    Licence ABN: 11005357522
    The company(ies) or people who control the licensee's business: AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
    The date the Financial Adviser commenced the appointment: 2010-10-01
    The date the Financial Adviser ceased the appointment: 2011-06-01
  5. Financial Adviser Status: Ceased
    Name of the licence holder: SUNCORP FINANCIAL SERVICES PTY LTD
    Licence Number: 000229885
    Licence ABN: 50010844621
    The company(ies) or people who control the licensee's business: SUNCORP GROUP LIMITED
    The date the Financial Adviser commenced the appointment: 2015-12-18
    The date the Financial Adviser ceased the appointment: 2017-07-06
    Authorised Representative Name: SUNCORP FINANCIAL SERVICES PTY LTD
    Authorised Representative Number: 000229885
    Rep Appointed ABN: 50010844621
  6. Financial Adviser Status: Ceased
    Name of the licence holder: AMP FINANCIAL PLANNING PTY LIMITED
    Licence Number: 000232706
    Licence ABN: 89051208327
    The company(ies) or people who control the licensee's business: AMP ADVICE HOLDINGS PTY LTD ~ AMP GROUP HOLDINGS LIMITED ~ AMP HOLDINGS LIMITED ~ AMP LIMITED ~ AMP WEALTH MANAGEMENT HOLDINGS PTY LTD ~ NATIONAL MUTUAL FUNDS MANAGEMENT (GLOBAL) LIMITED
    The date the Financial Adviser commenced the appointment: 2014-09-26
    The date the Financial Adviser ceased the appointment: 2015-03-30
  7. Financial Adviser Status: Ceased
    Name of the licence holder: AMP FINANCIAL PLANNING PTY LIMITED
    Licence Number: 000232706
    Licence ABN: 89051208327
    The company(ies) or people who control the licensee's business: AMP ADVICE HOLDINGS PTY LTD ~ AMP GROUP HOLDINGS LIMITED ~ AMP HOLDINGS LIMITED ~ AMP LIMITED ~ AMP WEALTH MANAGEMENT HOLDINGS PTY LTD ~ NATIONAL MUTUAL FUNDS MANAGEMENT (GLOBAL) LIMITED
    The date the Financial Adviser commenced the appointment: 2011-07-28
    The date the Financial Adviser ceased the appointment: 2014-09-25

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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.