ALAN LESLIE SMITH


Licensee: BLUE OCEAN FINANCIAL SERVICES PTY LTD

ALAN LESLIE SMITH (Adviser# 000332169) is a financial adviser registered with Australian Securities and Investments Commission (ASIC), Financial Advisers Register. The adviser role status is Current. The adviser start date is August 20, 2018.

Adviser Overview

Register Name Financial Advisers
Adviser Name ALAN LESLIE SMITH
Adviser Number 000332169
Adviser Role Financial Adviser
Adviser Role Status Current
Adviser First Advice Year 2008
Financial Service (AFS) Licence Licence# 000493361
BLUE OCEAN FINANCIAL SERVICES PTY LTD
Licence ABN 17615108177
Licence Controlled By Stuart Aaron MANGION
Adviser Start Date 2018-08-20
Appointing Representative Name RELIANCE INSURANCE ADVISERS PTY LTD
Appointing Representative Number 001249697
Appointing Representative ABN 50161586901
Further Restrictions Margin Lending Managed Discretionary Accounts Securities

Authorisations to provide financial product advice

  • ALAN LESLIE SMITH
  • ·
  • Deposit Payment Non Basic Deposit
  • ·
  • Government Debenture
  • ·
  • Life Product Investment Life Insurance
  • ·
  • Life Product Life Risk Insurance
  • ·
  • Managed Investment Schemes Including IDPS
  • ·
  • Retirement Savings Account
  • ·
  • Superannuation

Qualifications and training history

Qualification / Degree Institute / School
Diploma of Financial Services (Financial Planning) Archer College

Adviser employment history

Licence Number Licence Name Adviser Date Appointing Representative
000493361 BLUE OCEAN FINANCIAL SERVICES PTY LTD
Licence controlled by: Stuart Aaron MANGION
Further restrictions: Margin Lending Managed Discretionary Accounts Securities
2018-08-20 - RELIANCE INSURANCE ADVISERS PTY LTD
000437518 AVALONFS PTY LTD
Licence controlled by: Amodio Financial Services Pty Ltd ATF AFS Trust [Date Ceased: 07/04/2016]
Further restrictions: No margin lending or securities.
2016-11-14 - 2018-08-17 AVALONFS PTY LTD
000307379 PATRON FINANCIAL SERVICES PTY LTD
Licence controlled by: STEINHARDT HOLDINGS PTY LTD
Further restrictions: Direct Equities - excludes direct equities advice SMSF - excludes advice on limited recourse borrowing arrangements and advice to set up SMSF
2013-07-19 - 2016-11-14 PATRON FINANCIAL SERVICES PTY LTD
000240687 SECURITOR FINANCIAL GROUP LTD
Licence controlled by: WESTPAC BANKING CORPORATION
2013-05-03 - 2013-07-18
000297239 A.C.N. 116 900 362 LIMITED 2008-11-17 - 2013-05-02

Licensee Information

Licence Name BLUE OCEAN FINANCIAL SERVICES PTY LTD
Licence Number 000493361
Licence ABN 17615108177

Financial advisers with the same licensee

Adviser Name Licensee Status Start Date
ANTONY LORENZO CAFARELLA Blue Ocean Financial Services Pty Ltd Current 2018-06-25
DERRICK BRUCE LOBBAN Blue Ocean Financial Services Pty Ltd Current 2018-06-25
ALEKSANDER JANIS EVERSTETS Blue Ocean Financial Services Pty Ltd Current 2018-06-21
ADAM DOUGLAS HOLMAN Blue Ocean Financial Services Pty Ltd Current 2018-06-08
MICHAEL JOHN RADNEDGE Blue Ocean Financial Services Pty Ltd Current 2018-05-01
DUNCAN MURRAY CHARLES MACINTOSH Blue Ocean Financial Services Pty Ltd Current 2018-04-04
JOHN KILEY Blue Ocean Financial Services Pty Ltd Current 2018-03-20
LYNETTE MURRAY Blue Ocean Financial Services Pty Ltd Current 2018-03-19
PAUL DAVID MICHAEL GILLMORE Blue Ocean Financial Services Pty Ltd Current 2018-03-14
JAMES PARKER Blue Ocean Financial Services Pty Ltd Current 2018-03-14

Competitor

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Dataset Information


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.