DAVID XI ZHU (Adviser# 001234290) 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 | DAVID XI ZHU |
| Adviser Number | 001234290 |
| Adviser Role | Financial Adviser |
| Adviser Role Status | Ceased |
| Adviser First Advice Year | 2014 |
| Financial Service (AFS) Licence |
Licence# 000246827 PHILLIP CAPITAL LIMITED |
| Licence ABN | 14002918247 |
| Adviser Start Date | 2016-09-13 |
| Adviser End Date | 2018-06-20 |
| Appointing Representative Name | DTM INTERNATIONAL PTY. LTD. |
| Appointing Representative Number | 001234289 |
| Appointing Representative ABN | 62168708923 |
| Further Restrictions | Refer to Contractor Agreement. Restrictions on Services to be provided include(a) The Contractor is not authorised to provide the following services on behalf of the Phillip Capital Limited (PhillipCapital):(i) any financial services which are outside the scope of the Authorisations stated in the Contractor Agreement with PhillipCapital (for example, the Contractor is not authorised to operate registered schemes, provide advice or dealing in derivatives other than options and warrants, life products, general insurance products or superannuation); and(ii) any services other than financial services (for example, providing tax, legal or accounting advice).(b) Notwithstanding that PhillipCapital is authorised to provide the Services in accordance with the Authorisations and the Contractor Agreement, the Contractor is prohibited from providing the following financial services on behalf of PhillipCapital:(i) MDA services; (ii)underwriting services; and (iii)custodial services.(c) Although the Contractor is |
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| Licence Number | Licence Name | Adviser Date | Appointing Representative |
|---|---|---|---|
| 000246827 |
PHILLIP CAPITAL LIMITED
Further restrictions: Refer to Contractor Agreement. Restrictions on Services to be provided include(a) The Contractor is not authorised to provide the following services on behalf of the Phillip Capital Limited (PhillipCapital):(i) any financial services which are outside the scope of the Authorisations stated in the Contractor Agreement with PhillipCapital (for example, the Contractor is not authorised to operate registered schemes, provide advice or dealing in derivatives other than options and warrants, life products, general insurance products or superannuation); and(ii) any services other than financial services (for example, providing tax, legal or accounting advice).(b) Notwithstanding that PhillipCapital is authorised to provide the Services in accordance with the Authorisations and the Contractor Agreement, the Contractor is prohibited from providing the following financial services on behalf of PhillipCapital:(i) MDA services; (ii)underwriting services; and (iii)custodial services.(c) Although the Contractor is |
2016-09-13 - 2018-06-20 | DTM INTERNATIONAL PTY. LTD. |
| 000307706 |
APP SECURITIES PTY LTD
Licence controlled by: GREAT WORLD FINANCIAL GROUP PTY LTD |
2015-07-31 - 2016-09-13 | DAVID XI ZHU |
| Licence Name | PHILLIP CAPITAL LIMITED |
| Licence Number | 000246827 |
| Licence ABN | 14002918247 |
| Adviser Name | Licensee | Status | Start Date |
|---|---|---|---|
| MARK WILSON WISEMAN | Phillip Capital Limited | Current | 2018-06-29 |
| LAY CHIENG CHYE | Phillip Capital Limited | Ceased | 2017-03-01 |
| MICHAEL CORI | Phillip Capital Limited | Ceased | 2017-01-30 |
| NICK KATIFORIS | Phillip Capital Limited | Ceased | 2017-01-23 |
| ERWIN JOSEPH TAN | Phillip Capital Limited | Ceased | 2017-01-18 |
| RAHN CATO | Phillip Capital Limited | Ceased | 2016-10-26 |
| JEAN-FRANCOIS BERTINCOURT | Phillip Capital Limited | Ceased | 2016-09-22 |
| LACHLAN GRAEME OWEN | Phillip Capital Limited | Ceased | 2016-09-19 |
| LACHLAN GRAEME OWEN | Phillip Capital Limited | Ceased | 2016-09-12 |
| ROBIN FIRTH HUGHES | Phillip Capital Limited | Ceased | 2016-09-07 |
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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.