JAMES EDWARD MCCARTHY (Adviser# 000415516) is a financial adviser registered with Australian Securities and Investments Commission (ASIC), Financial Advisers Register. The adviser role status is Ceased. The adviser start date is September 13, 2016.
| Register Name | Financial Advisers |
| Adviser Name | JAMES EDWARD MCCARTHY |
| Adviser Number | 000415516 |
| Adviser Role | Financial Adviser |
| Adviser Role Status | Ceased |
| Adviser First Advice Year | 2013 |
| Financial Service (AFS) Licence |
Licence# 000433250 WEALTH & RISK MANAGEMENT PTY LTD |
| Licence ABN | 47161722514 |
| Adviser Start Date | 2016-09-13 |
| Adviser End Date | 2016-11-11 |
| Appointing Representative Name | WEALTH & RISK MANAGEMENT PTY LTD |
| Appointing Representative Number | 000433250 |
| Appointing Representative ABN | 47161722514 |
| Disciplinary Action Start Date | 14/11/2016 |
| Disciplinary Action End Date | 13/11/2024 |
| Disciplinary Action Type | Prohibited from providing any financial services for a period of eight (8) years. |
|
| Licence Number | Licence Name | Adviser Date | Appointing Representative |
|---|---|---|---|
| 000433250 | WEALTH & RISK MANAGEMENT PTY LTD | 2016-09-13 - 2016-11-11 | WEALTH & RISK MANAGEMENT PTY LTD |
| 000232706 |
AMP FINANCIAL PLANNING PTY LIMITED
Licence controlled by: AMP ADVICE HOLDINGS PTY LTD ~ AMP LIMITED [Date Ceased: 27/02/2016] Further restrictions: MDA services are restricted to Limited Authority to Operate services. One off licensee approval is required for all products which are either not on the approved product list or Derivatives. |
2011-12-16 - 2015-04-02 | AMP FINANCIAL PLANNING PTY LIMITED |
| Licence Name | WEALTH & RISK MANAGEMENT PTY LTD |
| Licence Number | 000433250 |
| Licence ABN | 47161722514 |
| Adviser Name | Licensee | Status | Start Date |
|---|---|---|---|
| ASEL BOLOTBEK KYZY | Wealth & Risk Management Pty Ltd | Ceased | 2017-05-09 |
| EMMA HOU | Wealth & Risk Management Pty Ltd | Ceased | 2016-11-15 |
| LANYING XIANG BEVAN | Wealth & Risk Management Pty Ltd | Ceased | 2015-12-11 |
| GODWIN MIFSUD | Wealth & Risk Management Pty Ltd | Ceased | 2015-11-19 |
| HJALMAR RONNGARD | Wealth & Risk Management Pty Ltd | Ceased | 2015-10-29 |
| JOSHUA DAVID FUOCO | Wealth & Risk Management Pty Ltd | Ceased | 2015-07-22 |
| ZULFIQAR BAQIR MIRZA | Wealth & Risk Management Pty Ltd | Ceased | 2015-07-17 |
| EMILY JANE LYNCH | Wealth & Risk Management Pty Ltd | Ceased | 2015-04-17 |
| Adviser Name | Licensee | Status | Start Date |
|---|---|---|---|
| ASEL BOLOTBEK KYZY | Wealth & Risk Management Pty Ltd | Ceased | 2017-05-09 |
| EMMA HOU | Wealth & Risk Management Pty Ltd | Ceased | 2016-11-15 |
| LANYING XIANG BEVAN | Wealth & Risk Management Pty Ltd | Ceased | 2015-12-11 |
| GODWIN MIFSUD | Wealth & Risk Management Pty Ltd | Ceased | 2015-11-19 |
| HJALMAR RONNGARD | Wealth & Risk Management Pty Ltd | Ceased | 2015-10-29 |
| JOSHUA DAVID FUOCO | Wealth & Risk Management Pty Ltd | Ceased | 2015-07-22 |
| ZULFIQAR BAQIR MIRZA | Wealth & Risk Management Pty Ltd | Ceased | 2015-07-17 |
| EMILY JANE LYNCH | Wealth & Risk Management Pty Ltd | Ceased | 2015-04-17 |
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| Data Provider | Australian Securities and Investments Commission (ASIC), Financial Advisers Register |
| Jurisdiction | Australia |
| Related Datasets | Australian Businesses, Australian Companies |
This dataset includes 33 thousand financial advisers registered with Australian Securities and Investments Commission (ASIC), Financial Advisers Register. Australian Financial Services Licensees are required to keep the details of their financial advisers up to date on ASIC's Financial Advisers Register. Each financial adviser is registered with name, number, role status, ABN, first advice year, licence name and number, licence ABN, adviser start date and end date, appointing representative, disciplinary action, product authorisations, qualifications and training, memberships, etc.