COGAN, JAMES B

Address: Ashburton, VIC 3147, Australia

COGAN, JAMES B (Licence# 000247221) is an Australian financial service (AFS) licenced with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. The licence issue date is March 10, 2004.

Service Overview

Register Name AFS Licence
Licence Name COGAN, JAMES B
Licence Number 000247221
Licence ABN 53518868691
Issue Date 2004-03-10
Pre FSR Pre FSR (Financial Services Reform) Role and Licence Number:
SecDlr 214283
Locality ASHBURTON
State VIC
Postcode 3147
Country Australia

Licence condition

This licence authorises the licensee, only for the purposes of inducing or attempting to induce persons to purchase financial products that he has developed; or that he has jointly developed with a licensed securities dealer or Financial Services Licensee, to carry on a financial services business to:
  • provide general financial product advice for the following classes of financial products:
    • debentures, stocks or bonds issued or proposed to be issued by a government;
    • interests in managed investment schemes excluding investor directed portfolio services;
    • securities; and
    • superannuation; and
  • deal in a financial product by:
    • arranging for another person to issue, apply for, acquire, vary or dispose of a financial product in respect of the following classes of financial products:
      • debentures, stocks or bonds issued or proposed to be issued by a government;
      • interests in managed investment schemes excluding investor directed portfolio services;
      • securities; and
      • superannuation;
    • arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
      • debentures, stocks or bonds issued or proposed to be issued by a government;
      • interests in managed investment schemes excluding investor directed portfolio services;
      • securities; and
      • superannuation; and
    • arranging for another person to underwrite:
      • interests in managed investment schemes; and
      • an issue of securities;
to wholesale clients.

Office Location

Locality ASHBURTON
State VIC
Postcode 3147
Country Australia

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Postal Code 3147

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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.