JAMES SMITH
Financial Adviser · Sydney, NSW
📚 Qualifications & Training
2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education Group
2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education Group
2015 - Self Managed Superannuation Funds - Other - Mentor Education Group
2016 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited
2025 - Commercial Law - Other - Kaplan Higher Education Pty Limited
2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited
ℹ️ What is a Financial Adviser?
A registered Financial Adviser is authorised under an Australian Financial Services Licence (AFSL) to provide personal advice on investments, superannuation, life insurance, and other financial products to retail clients.
Financial advisers must meet strict education, training, and ethical standards set by ASIC. This includes holding relevant qualifications, meeting ongoing professional development requirements, and maintaining appropriate professional indemnity insurance.
Data source: ASIC Financial Advisers Register via data.gov.au, updated weekly.