BAILLIEU HOLST LTD


Address: Melbourne, VIC 3000, Australia

BAILLIEU HOLST LTD (Licence# 000245421) 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 28, 2004.

Service Overview

Register Name AFS Licence
Licence Name BAILLIEU HOLST LTD
Licence Number 000245421
Licence ABN 74006519393
Issue Date 2004-02-28
Pre FSR Pre FSR (Financial Services Reform) Role and Licence Number:
SecDlr 012544
Locality MELBOURNE
State VIC
Postcode 3000
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;
    • foreign exchange contracts;
    • 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 limited to MDA services; and
    • financial products limited to miscellaneous financial investment products limited to managed investment warrants:
      • to which the definition of derivative in subsection 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
      • that is transferable; and
    • that is a warrant as defined in the Operating Rules of a financial market that is operated by an Australian market licensee and has been admitted to trading status or quotation on a financial market in accordance with the Operating Rules of the financial market;
  • 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 limited to:
        • old law securities options contracts;
      • foreign exchange contracts;
      • interests in managed investment schemes including:
        • investor directed portfolio services;
        • interests in managed investment schemes limited to:
        • MDA services;
        • securities; and
        • financial products limited to miscellaneous financial investment products limited to MDA services; and
      • financial products limited to miscellaneous financial investment products limited to managed investment warrants:
        • to which the definition of derivative in subsection 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
        • that is transferable; and
      • that is a warrant as defined in the Operating Rules of a financial market that is operated by an Australian market licensee and has been admitted to trading status or quotation on a financial market in accordance with the Operating Rules of the financial market;
    • 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;
      • foreign exchange contracts;
      • 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 limited to MDA services; and
      • financial products limited to miscellaneous financial investment products limited to managed investment warrants:
        • to which the definition of derivative in subsection 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
        • that is transferable; and
      • that is a warrant as defined in the Operating Rules of a financial market that is operated by an Australian market licensee and has been admitted to trading status or quotation on a financial market in accordance with the Operating Rules of the financial market;
    • 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
      001266348 MARC ROLAND WYSS Current 2018-07-02
      001266349 NICHOLAS WINSTANLEY BIRD Current 2018-07-02
      000268121 SIMON WILLIAM MARTIN Current 2018-06-02
      001005826 CRAIG HUTCHINSON Current 2018-06-01
      001258782 HARRY JOHN RUMBLE Current 2017-10-05
      000409539 ANDREW SCOTT GREEN Current 2017-08-24
      000382652 GEORGE COLIN SMITH Current 2017-06-12
      000407622 STEPHEN ALEXANDER GODFREY Current 2017-01-09
      001002480 CAMERON JOHN PRATT Current 2016-10-03
      000468650 ADAM SPICER Current 2016-09-26

      Office Location

      Locality MELBOURNE
      State VIC
      Postcode 3000
      Country Australia

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      Postal Code 3000

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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.