WESTPAC SECURITIES LIMITED


Address: Sydney, NSW 2000, Australia

WESTPAC SECURITIES LIMITED (Licence# 000233723) is an Australian financial service (AFS) licenced with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. The licence issue date is February 9, 2004.

Service Overview

Register Name AFS Licence
Licence Name WESTPAC SECURITIES LIMITED
Licence Number 000233723
Licence ABN 39087924221
Issue Date 2004-02-09
Pre FSR Pre FSR (Financial Services Reform) Role and Licence Number:
SecDlr 190948
Locality SYDNEY
State NSW
Postcode 2000
Country Australia

Licence condition

This licence authorises the licensee to carry on a financial services business to:
  • provide general financial product advice for the following classes of financial products:
    • deposit and payment products limited to:
      • basic deposit products;
    • non-cash payment 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;
      • securities;
      • standard margin lending facility;
      • superannuation; and
      • financial products limited to:
    • miscellaneous financial investment products;
  • 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;
    • 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;
      • non-cash payment 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;
        • securities;
        • standard margin lending facility;
        • superannuation; and
        • financial products limited to:
      • miscellaneous financial investment products; and
    • underwriting:
      • interests in managed investment schemes; and
      • 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
      001006471 GAVIN WALKERDEN Ceased 2011-05-01
      001004511 LLOYD HARRIS Ceased 2010-03-01
      001004542 LLOYD HARRIS Ceased 2010-03-01

      Office Location

      Locality SYDNEY
      State NSW
      Postcode 2000
      Country Australia

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      Competitor

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      Postal Code 2000

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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.