SHAW AND PARTNERS LIMITED


Address: Sydney, NSW 2000, Australia

SHAW AND PARTNERS LIMITED (Licence# 000236048) is an Australian financial service (AFS) licenced with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. The licence issue date is March 10, 2004.

Service Overview

Register Name AFS Licence
Licence Name SHAW AND PARTNERS LIMITED
Licence Number 000236048
Licence ABN 24003221583
Issue Date 2004-03-10
Pre FSR Pre FSR (Financial Services Reform) Role and Licence Number:
SecDlr 015787
Locality SYDNEY
State NSW
Postcode 2000
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;
    • interests in managed investment schemes including:
      • investor directed portfolio services;
      • interests in managed investment schemes limited to:
      • MDA services;
      • securities;
      • standard margin lending facility;
      • superannuation; and
      • financial products limited to:
    • miscellaneous financial investment products;
    • miscellaneous financial investment products limited to MDA services;
  • 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;
      • interests in managed investment schemes limited to:
        • MDA services; and
      • financial products limited to:
        • miscellaneous financial investment products; and
      • miscellaneous financial investment products 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;
      • deposit products other than basic deposit products;
      • derivatives;
      • interests in managed investment schemes including:
        • investor directed portfolio services;
        • interests in managed investment schemes limited to:
        • MDA services;
        • securities;
        • standard margin lending facility;
        • superannuation; and
        • financial products limited to:
      • miscellaneous financial investment products;
      • miscellaneous financial investment products limited to MDA services; 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
      001266234 JEFFREY HUYNH Current 2018-07-24
      001265332 GARETH HENDERSON RUSSEL Current 2018-06-25
      001265239 MONIQUE CECELIA JAMES Current 2018-06-20
      001265242 STEPHEN CHRISTOPHER ELLIOTT Current 2018-06-20
      001265115 MATTHEW CRYER Current 2018-06-18
      001265065 ROBERT JAMES MCLEAN Current 2018-06-12
      001264749 WARREN ACWORTH Current 2018-06-06
      001264750 KATHLEEN PATRICIA BROOK Current 2018-06-06
      001264715 DANIEL MICHAEL WARREN Current 2018-06-05
      001264597 MICHAEL CRONE Current 2018-06-01

      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.