HARTLEYS LIMITED


Address: Perth, WA 6000, Australia

HARTLEYS LIMITED (Licence# 000230052) is an Australian financial service (AFS) licenced with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. The licence issue date is October 20, 2003.

Service Overview

Register Name AFS Licence
Licence Name HARTLEYS LIMITED
Licence Number 000230052
Licence ABN 33104195057
Issue Date 2003-10-20
Locality PERTH
State WA
Postcode 6000
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;
    • derivatives;
    • 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;
      • interests in managed investment schemes limited to:
      • MDA services;
      • retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
      • securities;
      • standard margin lending facility;
      • superannuation; and
      • financial products limited to miscellaneous financial investment products limited to managed investment warrants:
    • to which the definition of derivative in subsection 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
    • that is transferable; and
    • that is a warrant as defined in the Operating Rules of a financial market that is operated by an Australian market licensee and has been admitted to trading status or quotation on a financial market in accordance with the Operating Rules of the financial market;
  • deal in a financial product by:
    • issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
      • derivatives; and
      • interests in managed investment schemes limited to:
        • MDA services;
    • 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;
      • derivatives;
      • 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;
        • standard margin lending facility;
        • superannuation; and
        • financial products limited to miscellaneous financial investment products limited to managed investment warrants:
      • to which the definition of derivative in subsection 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
      • that is transferable; and
      • that is a warrant as defined in the Operating Rules of a financial market that is operated by an Australian market licensee and has been admitted to trading status or quotation on a financial market in accordance with the Operating Rules of the financial market;
    • underwriting:
      • an issue of securities; and
  • provide the following custodial or depository services:
    • operate custodial or depository services other than investor directed portfolio services;
      to retail and wholesale clients.

      Financial advisers

      Adviser Number Adviser Name Status Start Date
      001263846 SAMUAL LOWRIE Current 2018-05-07
      001263867 HEATH JOHN DURRANT RYAN Current 2018-04-30
      001260944 BEN MATTHEW OSBORNE Current 2018-01-02
      001257042 WILLIAM MAXWELL LANGLEY Current 2017-08-01
      001008651 MARK JONATHAN SANDFORD Ceased 2015-05-11
      001005689 JACK THOMAS JOHNS Current 2015-01-12
      001005695 COOPER LEE ROGERS Ceased 2014-11-17
      001234655 REBECCA JANE HARDY Ceased 2014-07-07
      001004560 DIGBY NEIL GILMOUR Current 2014-02-10
      001005705 MATTHEW JAMES PARKER Current 2014-02-04

      Office Location

      Locality PERTH
      State WA
      Postcode 6000
      Country Australia

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      Postal Code 6000

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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.