TRADE WIND CAPITAL MARKETS PTY LTD


Address: North Sydney, NSW 2060, Australia

TRADE WIND CAPITAL MARKETS PTY LTD (Licence# 000235362) is an Australian financial service (AFS) licenced with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. The licence issue date is December 29, 2003.

Service Overview

Register Name AFS Licence
Licence Name TRADE WIND CAPITAL MARKETS PTY LTD
Licence Number 000235362
Licence ABN 69089623352
Issue Date 2003-12-29
Pre FSR Pre FSR (Financial Services Reform) Role and Licence Number:
SecDlr 192482
Locality NORTH SYDNEY
State NSW
Postcode 2060
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;
    • deposit products other than basic deposit products;
    • derivatives limited to:
      • old law securities options contracts and warrants;
    • foreign exchange contracts;
    • general insurance products;
    • 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; and
      • superannuation; and
  • 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:
      • interests in managed investment schemes limited to:
        • MDA services; and
    • 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;
      • deposit products other than basic deposit products;
      • derivatives limited to:
        • old law securities options contracts and warrants;
      • debentures, stocks or bonds issued or proposed to be issued by a government;
      • life products limited to:
        • 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;
      • 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; and
        • superannuation;
to retail and wholesale clients.

Financial advisers

Adviser Number Adviser Name Status Start Date
000344691 ADAM JOHN BEVAN Current 2018-07-01
000337155 KIERAN KELLY Ceased 2004-06-22

Office Location

Locality NORTH SYDNEY
State NSW
Postcode 2060
Country Australia

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Competitor

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Postal Code 2060

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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.