ANZ SECURITIES LIMITED


Address: Sydney, NSW 2000, Australia

ANZ SECURITIES LIMITED (Licence# 000237531) 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 10, 2003.

Service Overview

Register Name AFS Licence
Licence Name ANZ SECURITIES LIMITED
Licence Number 000237531
Licence ABN 16004997111
Issue Date 2003-12-10
Pre FSR Pre FSR (Financial Services Reform) Role and Licence Number:
SecDlr 012316
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:
    • derivatives;
    • debentures, stocks or bonds issued or proposed to be issued by a government;
    • interests in managed investment schemes excluding investor directed portfolio services; and
    • securities;
  • 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:
      • derivatives;
      • debentures, stocks or bonds issued or proposed to be issued by a government;
      • interests in managed investment schemes excluding investor directed portfolio services; and
      • securities; 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
      001008790 JOSH GUPTA Ceased 2013-04-01
      000249679 ASHLEY DAVID MCAULIFFE Ceased 2012-01-14
      001006328 KATARINA FILPOVIC Ceased 2011-11-01
      000417748 BROOKE AINSLEY PATTERSON Ceased 2010-03-01
      000283046 GERARD JOHN DUFFY Ceased 2008-04-05
      001255048 VERONICA MAREE MASON Ceased 2007-05-01
      000425472 DAVID MCNIVEN Ceased 2003-01-14
      001004432 ROY AGOSTINO Ceased 1990-09-15

      Office Location

      Locality SYDNEY
      State NSW
      Postcode 2000
      Country Australia

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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.