RGM FINANCIAL PLANNERS PTY LTD


Address: Traralgon, VIC 3844, Australia

RGM FINANCIAL PLANNERS PTY LTD (Licence# 000229471) is an Australian financial service (AFS) licenced with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. The licence issue date is June 25, 2003.

Service Overview

Register Name AFS Licence
Licence Name RGM FINANCIAL PLANNERS PTY LTD
Licence Number 000229471
Licence ABN 47083204791
Issue Date 2003-06-25
Pre FSR Pre FSR (Financial Services Reform) Role and Licence Number:
SecDlr 184611
Locality TRARALGON
State VIC
Postcode 3844
Country Australia

Licence condition

This licence authorises the licensee to carry on a financial services business to:
  • provide financial product advice for the following classes of financial products:
    • deposit and payment products limited to:
      • basic deposit products;
    • deposit products other than basic deposit products;
    • debentures, stocks or bonds issued or proposed to be issued by a government;
    • life products including:
      • investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
      • life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
    • interests in managed investment schemes including:
      • investor directed portfolio services;
      • retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
      • securities; and
      • superannuation; and
  • deal in a financial product by:
    • applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
      • deposit and payment products limited to:
        • basic deposit products;
      • deposit products other than basic deposit products;
      • debentures, stocks or bonds issued or proposed to be issued by a government;
      • life products including:
        • investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
        • life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
      • interests in managed investment schemes including:
        • investor directed portfolio services;
        • retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
        • securities; and
        • superannuation;
to retail and wholesale clients.

Financial advisers

Adviser Number Adviser Name Status Start Date
001250345 PRUDENCE JAYNE COX Current 2016-12-06
000277834 LEE JOHNSON Current 2016-10-24
000265142 GEORGE ROELOF CORNELIS Ceased 2014-08-01
000267359 SAMUEL CARL RICHARDSON Ceased 2014-08-01
001004863 PAULA LOUISE SIDDLE Current 2013-11-22
000329231 DANIEL JOHN BREMNER Current 2009-08-17
000230465 VINCENT ANTHONY PELUSO Current 2003-06-26
000230468 MARK EDWARD REIDY Current 2003-06-26
000230466 PEARSE JOSEPH MORGAN Ceased 2003-06-26
000230467 BERND WILHELM RITZER Ceased 2003-06-26

Office Location

Locality TRARALGON
State VIC
Postcode 3844
Country Australia

Financial services with the same postcode

Service Name Issue Date Locality
SUN NICHOLSON PTY. LTD. 2017-02-13 Traralgon, VIC 3844, Australia
DAVANTAGE GROUP PTY LTD 2013-06-04 Traralgon, VIC 3844, Australia
ROPAN LICENSEES PTY. LTD. 2010-11-05 Traralgon, VIC 3844, Australia
MCMILLAN FINANCIAL PLANNING PTY LTD 2004-01-05 Traralgon, VIC 3844, Australia
AWIB PTY. LTD. 2003-12-01 Traralgon, VIC 3844, Australia

Financial services with the same locality

Service Name Issue Date Locality
SUN NICHOLSON PTY. LTD. 2017-02-13 Traralgon, VIC 3844, Australia
DAVANTAGE GROUP PTY LTD 2013-06-04 Traralgon, VIC 3844, Australia
ROPAN LICENSEES PTY. LTD. 2010-11-05 Traralgon, VIC 3844, Australia
MCMILLAN FINANCIAL PLANNING PTY LTD 2004-01-05 Traralgon, VIC 3844, Australia
AWIB PTY. LTD. 2003-12-01 Traralgon, VIC 3844, Australia

Competitor

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Postal Code 3844

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Dataset Information


Data Provider Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register
Jurisdiction Australia
Related Datasets Australian Businesses, Australian Companies

This dataset includes 33 thousand financial advisers registered with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. Australian Financial Services Licensees are required to keep the details of their financial advisers up to date on ASIC's Financial Services 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.