MORGAN STANLEY WEALTH MANAGEMENT AUSTRALIA PTY LTD


Address: Sydney, NSW 2000, Australia

MORGAN STANLEY WEALTH MANAGEMENT AUSTRALIA PTY LTD (Licence# 000240813) 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 MORGAN STANLEY WEALTH MANAGEMENT AUSTRALIA PTY LTD
Licence Number 000240813
Licence ABN 19009145555
Issue Date 2004-03-10
Pre FSR Pre FSR (Financial Services Reform) Role and Licence Number:
SecDlr 014275
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 to wholesale clients only for the following classes of financial products:
    • non standard margin lending facility; and
  • deal in a financial product to wholesale clients only by:
    • issuing, apply for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
      • non standard margin lending facility; and
    • applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of financial products:
      • non standard margin lending facility; and
  • provide financial product advice to retail and wholesale clients for the following classes of financial products:
    • deposit and payment products limited to:
      • basic deposit products;
    • deposit products other than basic deposit products;
    • derivatives;
    • foreign exchange contracts;
    • general insurance products limited to:
      • consumer credit 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;
      • 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 to retail and wholesale clients by:
    • issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
      • derivatives;
      • foreign exchange contracts;
      • interests in managed investment schemes limited to:
        • MDA services;
      • securities;
      • standard margin lending facility; and
      • financial products limited to:
        • 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 including:
        • basic deposit products;
        • deposit products other than basic deposit products; and
        • non-cash payment products;
      • derivatives;
      • foreign exchange contracts;
      • general insurance products limited to:
        • consumer credit 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;
        • standard margin lending facility;
        • superannuation; and
        • financial products limited to:
      • miscellaneous financial investment products;
      • miscellaneous financial investment products limited to MDA services; and
    • underwriting to retail and wholesale clients in respect of the following classes of financial products:
      • interests in managed investment schemes; and
      • an issue of securities;
  • make a market for the following financial products in respect of retail and wholesale clients:
    • foreign exchange contracts;
    • derivatives;
    • debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
    • limited to financial products other than:
      • derivatives;
      • foreign exchange contracts; and
      • debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
  • provide the following custodial or depository services to retail and wholesale clients:
    operate custodial or depository services other than investor directed portfolio services.

    Financial advisers

    Adviser Number Adviser Name Status Start Date
    001255996 MICHAEL TONY KOSTOS Current 2018-07-02
    001264762 DAN AO Ceased 2018-06-06
    001262978 HANG (CATHY) DING Current 2018-03-26
    001262840 RYAN LOEHR Current 2018-03-21
    001240923 SCOTT AVERAY Ceased 2018-03-19
    001000296 CASSANDRA ANNE MACOLINO Current 2018-02-08
    001259446 SANDY MEI-CHING WONG Ceased 2017-10-17
    001257130 BIANCA JANE HOGAN Current 2017-08-03
    001254364 ADRIANO PIZZINGRILLI Current 2017-05-05
    001254376 OLIVER EDWARD WARNE Current 2017-05-05

    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.